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RP
CFP
RP
CFP

Raymond Pai

LPL Financial LLC
13 Years of Experience
Irvine, CA
Broker
View SEC Summary
View SEC Summary

Raymond Pai is a CFP-designated registered investment advisor at LPL Financial LLC, based in Irvine, CA, with 13 years of industry experience. Raymond 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

2600 Michelson, Suite 950, Irvine, CA, 92612

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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 Activities

Raymond operates under the DBA SageMint Wealth for his LPL business since April 2022. This activity is investment-related.

Employment History
Current Registrations
LPL Financial LLC
May 2022 - Present · 4 yrs 5 mos
LPL Financial LLCBroker
April 2022 - Present · 4 yrs 6 mos
Previous Registrations
National Planning Corporation ("npc of America" in Fl & Ny)
July 2011 - March 2016 · 4 yrs 8 mos
National Planning CorporationBroker
July 2011 - March 2016 · 4 yrs 8 mos
Metlife Securities INC.
June 2010 - August 2011 · 1 yr 2 mos
Metlife Securities INC.Broker
February 2010 - August 2011 · 1 yr 6 mos
Metlife Securities INC.
December 2006 - July 2009 · 2 yrs 7 mos
Metlife Securities INC.Broker
December 2006 - July 2009 · 2 yrs 7 mos
Metropolitan Life Insurance CompanyBroker
December 2006 - July 2007 · 7 mos
Securian Financial Services, INC.
October 2006 - December 2006 · 2 mos
Securian Financial Services, INC.Broker
September 2006 - December 2006 · 3 mos
State Registrations1 state
CA
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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