Barbara Ellis is a registered investment advisor at LPL Financial LLC, based in Corpus Christi, TX, with 20 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
Corpus Christi, TX
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Barbara operates Ellis Financial Services, Inc. as a DBA for her LPL business. This activity takes nearly full-time hours, including some time during securities trading.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Edward Jones
Edward Jones
Edward JonesBroker
State Registrations4 states
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