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CFP
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CFP

Michael Ward

LPL Financial LLC
13 Years of Experience
Scottsdale, AZ
BrokerSells Insurance
View SEC Summary
View SEC Summary

Michael Ward is a CFP-designated registered investment advisor at LPL Financial LLC, based in Scottsdale, AZ, with 13 years of industry experience. Michael 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

17787 N Perimeter Dr Ste A107, Scottsdale, AZ, 85255-5454

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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

Michael operates Frank Financial Concepts, INC as a DBA for his LPL business, spending minimal time on it. He is also an agent selling non-variable insurance through CREATIVEONE, CRUMP, SENIOR MARKET SALES and ROGERS BENEFIT GROUP, dedicating a few hours per week.

Employment History
Current Registrations
LPL Financial LLCBroker
May 2024 - Present · 2 yrs 5 mos
LPL Financial LLC
May 2024 - Present · 2 yrs 5 mos
Previous Registrations
Bfc Planning, INC.
January 2022 - May 2024 · 2 yrs 4 mos
Berthel, Fisher & Company Financial Services, INC.Broker
November 2012 - May 2024 · 11 yrs 6 mos
State Registrations21 states
AKAZCAFLGAHIIAIDILKSMNMONCNEOHOKORTNTXWAWI
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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