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Jeremy Caza

LPL Financial LLC
20 Years of Experience
Syracuse, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Jeremy Caza is a registered investment advisor at LPL Financial LLC, based in Syracuse, NY, with 20 years of industry experience. Jeremy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

250 S Clinton St Ste 110, Syracuse, NY, 13202

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History

Regulatory History (1)
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Criminal
August 2004
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Jeremy is an agent for Hanleigh Insurance and Guardian, selling non-variable insurance products including disability insurance, dedicating minimal time to each. He also operates under multiple DBAs for his LPL business and has a financial institution duty with Carta Group, taking nearly full-time hours.

Employment History
Current Registrations
LPL Financial LLCBroker
February 2018 - Present · 8 yrs 8 mos
LPL Financial LLC
February 2018 - Present · 8 yrs 8 mos
Previous Registrations
Invest Financial Corporation
August 2015 - February 2018 · 2 yrs 6 mos
Invest Financial CorporationBroker
May 2015 - February 2018 · 2 yrs 9 mos
Lincoln Financial Advisors Corporation
July 2007 - December 2007 · 5 mos
Lincoln Financial Advisors CorporationBroker
December 2005 - May 2015 · 9 yrs 5 mos
The Lincoln National Life Insurance CompanyBroker
December 2005 - May 2006 · 5 mos
State Registrations24 states
CACOCTFLGAMAMDMIMNNCNHNJNYOHORPARISCSDTXVAVTWIWV
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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