Barbara Ginty is a registered investment advisor at LPL Financial LLC, based in Kingston, NY, with 17 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
60 Pearl Street, Kingston, NY, 12401
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Barbara operates an independent financial services business as a DBA for her LPL business, dedicating her full time to it. She also engages in real estate rental, is a book author, teaches financial literacy at SUNY Ulster, provides industry coaching, and has business entities for tax/investment purposes, each requiring minimal time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Vanderbilt Securities, LLCBroker
Credit Suisse Securities (USA) LLC
Credit Suisse Securities (USA) LLCBroker
Vanderbilt Securities, LLCBroker
Bloomberg Tradebook LLCBroker
State Registrations23 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.