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Samuel Valerio

LPL Financial LLC
19 Years of Experience
Katy, TX
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Samuel Valerio is a registered investment advisor at LPL Financial LLC, based in Katy, TX, with 19 years of industry experience. Samuel 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

24275 Katy Fwy Suite 215, Katy, TX, 77494

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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.
Criminal
June 2019
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Samuel is an insurance agent selling insurance through various carriers for W&R Insurance Agencies since February 2020. He is also an advisor associate for CSS455, LLC, dedicating nearly full-time hours to this role and spending a significant amount of time on SEC trading.

Employment History
Current Registrations
LPL Financial LLC
July 2021 - Present · 5 yrs 3 mos
LPL Financial LLCBroker
July 2021 - Present · 5 yrs 3 mos
Previous Registrations
Waddell & ReedBroker
February 2020 - July 2021 · 1 yr 5 mos
Waddell & Reed
February 2020 - July 2021 · 1 yr 5 mos
Ameriprise Financial Services, INC.
July 2019 - July 2019 · 0 mos
Ameriprise Financial Services, INC.Broker
July 2019 - July 2019 · 0 mos
J.P. Morgan Securities LLC
October 2012 - June 2019 · 6 yrs 8 mos
J.P. Morgan Securities LLCBroker
October 2012 - June 2019 · 6 yrs 8 mos
Chase Investment Services CORP.
February 2010 - October 2012 · 2 yrs 8 mos
Chase Investment Services CORP.Broker
February 2010 - October 2012 · 2 yrs 8 mos
Morgan Stanley Smith Barney LLC
June 2009 - November 2009 · 5 mos
Morgan Stanley Smith BarneyBroker
June 2009 - November 2009 · 5 mos
Morgan Stanley & CO. Incorporated
August 2008 - June 2009 · 10 mos
Morgan Stanley & CO. IncorporatedBroker
August 2008 - June 2009 · 10 mos
Chase Investment Services CORP.Broker
March 2007 - July 2008 · 1 yr 4 mos
Edward JonesBroker
August 2006 - January 2007 · 5 mos
State Registrations9 states
ARAZCTFLINMDNVPATX
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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