Sumit Sharma
Sumit Sharma is a CFP-designated registered investment advisor at LPL Financial LLC, based in Mission Viejo, CA, with 14 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
27201 Puerta Real, Ste 250, Mission Viejo, CA, 92691
Get directionsHistory
Regulatory History (1)
Customer Dispute
March 2019Other Business Activities
Sumit operates under Pence Financial Group as a DBA for his LPL business. This activity is investment-related and takes nearly full-time hours.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
United Planners' Financial Services of America a Limited Partner
United Planners' Financial Services of America a Limited PartnerBroker
Falcon Wealth Planning, INC.
Morgan Stanley
Morgan StanleyBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
AXA Advisors, LLC
AXA Advisors, LLCBroker
Afa Financial Group, LLCBroker
Purshe Kaplan Sterling InvestmentsBroker
State Registrations12 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.