Kathryn Dunlop is a registered investment advisor at LPL Financial LLC, based in Lexington, MA, with 17 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
57 Bedford St Ste 204, Lexington, MA, 02420-4550
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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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Kathryn operates Alena Wealth, LLC as a DBA for her LPL business, dedicating full-time hours to it. She also provides administrative support to Alena Wealth, LLC as a Registered Investment Advisor, spending minimal time on this activity. Additionally, Kathryn is a notary public, spending minimal time on this.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Morgan Stanley Smith Barney LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Morgan Stanley Smith BarneyBroker
Citigroup Global Markets INC.Broker
State Registrations25 states
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.