Jeffrey Carter
Jeffrey Carter is a registered investment advisor at LPL Financial LLC, based in Westlake Village, CA, with 18 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
2829 Townsgate Rd Ste 100, Westlake Village, CA, 91361
Get directionsHistory
Regulatory History (3)
Customer Dispute
July 2016Employment Separation After Allegations
March 2016Customer Dispute
November 2014Other Business Activities
Jeffrey owns two investment rental properties in Palm Springs and Studio City, California. He spends a few hours per week on these activities, none of which occur during securities trading hours.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
B. Riley Wealth Advisors, INC.
B. Riley Wealth ManagementBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
J.P. Morgan Securities LLCBroker
J.P. Morgan Securities LLC
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
State Registrations8 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.