TrueAdvisor
TrueAdvisor
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CFP
NA
CFP

Nicholas Arena

LPL Financial LLC
20 Years of Experience
Columbus, OH
BrokerSells Insurance
View SEC Summary
View SEC Summary

Nicholas Arena is a CFP-designated registered investment advisor at LPL Financial LLC, based in Columbus, OH, with 20 years of industry experience. Nicholas 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
—
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Location

615 Hilliard Rome Rd, Columbus, OH, 43228-9475

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History

Regulatory History
Clean regulatory record

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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Other Business ActivitiesSells Insurance

Nicholas has a tax/investment business entity and a DBA for his LPL business. He also works with Pinnacle Insurance Group selling non-variable insurance for a few hours per week and is involved with Arena and Harrison CPA's INC. for tax preparation and accounting services.

Employment History
Current Registrations
LPL Financial LLC
November 2019 - Present · 6 yrs 11 mos
LPL Financial LLCBroker
July 2011 - Present · 15 yrs 3 mos
Previous Registrations
Independent Financial Partners
July 2011 - July 2019 · 8 yrs
Metlife Securities INC.
March 2006 - July 2011 · 5 yrs 4 mos
Metlife Securities INC.Broker
February 2006 - July 2011 · 5 yrs 5 mos
Metropolitan Life Insurance CompanyBroker
February 2006 - July 2007 · 1 yr 5 mos
The Huntington Investment CompanyBroker
December 2005 - January 2006 · 1 mo
State Registrations5 states
CAKYNCNMOH
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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