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CFP
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CFP

Nicholas Deneault

LPL Financial LLC
19 Years of Experience
Charlotte, NC
BrokerSells Insurance
View SEC Summary
View SEC Summary

Nicholas Deneault is a CFP-designated registered investment advisor at LPL Financial LLC, based in Charlotte, NC, with 19 years of industry experience. Nicholas 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
28129 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

5950 Fairview Rd Ste 250, Charlotte, NC, 28210

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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

Nicholas prepares tax returns through ND Tax Prep, dedicating minimal time. He is also an agent for non-variable insurance through Associates of Clifton Park, owns SLD Props, LLC for real estate rental, and Deneault & Greyard LLC as a DBA for his LPL business, each requiring minimal time.

Employment History
Current Registrations
LPL Financial LLC
July 2021 - Present · 5 yrs 3 mos
LPL Financial LLCBroker
July 2021 - Present · 5 yrs 3 mos
Previous Registrations
Waddell & Reed
August 2010 - July 2021 · 10 yrs 11 mos
Waddell & ReedBroker
August 2010 - July 2021 · 10 yrs 11 mos
Edward Jones
December 2006 - August 2010 · 3 yrs 8 mos
Edward JonesBroker
November 2006 - August 2010 · 3 yrs 9 mos
State Registrations10 states
FLIAKSNCNYPASCTXVAWA
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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