William Lockwood is a CFP-designated registered investment advisor at LPL Financial LLC, based in Ellisville, MO, with 20 years of industry experience. William 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
16290 Westwoods Business Park, Ellisville, MO, 63021
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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.
Learn about disclosures →Other Business Activities
William operates his LPL business through Jones Investment Group and RMW Rocky Mountain Wealth Advisory Group LLC. He spends a few hours per week on the latter.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Waddell & ReedBroker
Waddell & Reed
Woodbury Financial Services, INC.
Woodbury Financial Services, INC.Broker
New England Securities Corporation
New England SecuritiesBroker
Edward Jones
Edward JonesBroker
State Registrations45 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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