Kole Petersen
Kole Petersen is a registered investment advisor at LPL Financial LLC, based in Humboldt, IA, with 19 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
1717 8th Ave N, Humboldt, IA, 50548
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Regulatory History (1)
Customer Dispute
June 2021Other Business ActivitiesSells Insurance
Kole operates Full Swing Financial Planning LLC as a DBA for his LPL business, dedicating about a quarter of his time. He also sells non-variable insurance and owns Petersen Financial Planning LLC for tax/investment purposes, each taking about a quarter of his time, and owns rental real estate, taking minimal time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Signator Investors, INC.
Signator Investors, INC.Broker
Principal Funds Distributor, INC.Broker
Princor Financial Services CorporationBroker
State Registrations15 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.