Malcom Ong is a registered investment advisor at LPL Financial LLC, based in Lawrence, KS, with 20 years of industry experience. Malcom 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
3310 Mesa Way STE. 101, Lawrence, KS, 66049
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Regulatory History (1)
Customer Dispute
July 2013Other Business Activities
Malcom is the owner of Providence LLC, used for business expenses, and spends about a quarter of his time on it as a registered representative. He is also a partner at Fifteen:22 Financial Partners, dedicating nearly full-time hours as a registered representative.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Nations Financial Group, INC.
Nations Financial Group, INC.Broker
Berthel Fisher & Company Financial Services, INC.
Berthel, Fisher & Company Financial Services, INC.Broker
State Registrations11 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.
Exams
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