Kathleen Pasion is a registered investment advisor at LPL Financial LLC, based in Arlington Heights, IL, with 15 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
150 East Rand Road, Arlington Heights, IL, 60004
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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.
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Kathleen operates under two DBAs for her LPL business: Wintrust Investments and Wintrust Wealth Management. She dedicates full-time hours to these investment-related activities.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Wintrust Investments
Wintrust Investments LLCBroker
J.P. Morgan Securities LLCBroker
J.P. Morgan Securities LLC
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Fifth Third Securities, INC.Broker
State Registrations29 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.