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Frederick Cotton

LPL Financial LLC
20 Years of Experience
North Haven, CT
1 DisclosureBrokerSells Insurance
View SEC Summary
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Frederick Cotton is a registered investment advisor at LPL Financial LLC, based in North Haven, CT, with 20 years of industry experience. Frederick 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 State Street, J-1, North Haven, CT, 06473

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
June 2017
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Frederick operates under the DBA Retirement Planning Partners, LLC for his LPL business. He also sells non-variable insurance and operates Retirement Planning Partners, LLC as an insurance agency, dedicating a few hours per week to each. Additionally, Frederick owns Retirement Planning Partners Property LLC for real estate rental, spending minimal time on it.

Employment History
Current Registrations
LPL Financial LLCBroker
October 2020 - Present · 6 yrs
LPL Financial LLC
October 2020 - Present · 6 yrs
Previous Registrations
Securities America Advisors, INC.
September 2020 - October 2020 · 1 mo
Securities America, INC.Broker
September 2020 - October 2020 · 1 mo
Securities Service Network, LLCBroker
October 2016 - September 2020 · 3 yrs 11 mos
Ssn Advisory, INC.
October 2016 - September 2020 · 3 yrs 11 mos
Ameritas Investment CORP
October 2006 - November 2016 · 10 yrs 1 mo
Ameritas Investment CORP.Broker
June 2006 - November 2016 · 10 yrs 5 mos
Carillon Investments, INC.Broker
April 2006 - June 2006 · 2 mos
State Registrations6 states
COCTNHNYTXWA
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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