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Jeffrey Carter

LPL Financial LLC
19 Years of Experience
Westlake Village, CA
3 DisclosuresBroker
View SEC Summary
View SEC Summary

Jeffrey Carter is a registered investment advisor at LPL Financial LLC, based in Westlake Village, CA, with 19 years of industry experience. Jeffrey 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

2829 Townsgate Rd Ste 100, Westlake Village, CA, 91361

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2016
Denied
Employment Separation After Allegations
March 2016
Customer Dispute
November 2014
Denied
View Full SEC ReportHow to Read Disclosures
Other 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
August 2025 - Present · 1 yr 2 mos
LPL Financial LLC
August 2025 - Present · 1 yr 2 mos
Previous Registrations
B. Riley Wealth Advisors, INC.
September 2023 - August 2025 · 1 yr 11 mos
B. Riley Wealth ManagementBroker
September 2023 - August 2025 · 1 yr 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 2016 - September 2023 · 7 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2016 - September 2023 · 7 yrs 6 mos
J.P. Morgan Securities LLCBroker
October 2012 - March 2016 · 3 yrs 5 mos
J.P. Morgan Securities LLC
October 2012 - March 2016 · 3 yrs 5 mos
Chase Investment Services CORP.
October 2011 - October 2012 · 1 yr
Chase Investment Services CORP.Broker
October 2011 - October 2012 · 1 yr
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2009 - October 2011 · 2 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 2009 - October 2011 · 2 yrs 8 mos
UBS Financial Services INC.
November 2007 - December 2008 · 1 yr 1 mo
UBS Financial Services INC.Broker
July 2007 - December 2008 · 1 yr 5 mos
State Registrations9 states
CACOCTGANYOHPASCWA
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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