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Nicholas Maxwell

LPL Financial LLC
19 Years of Experience
Fresno, CA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Nicholas Maxwell is a registered investment advisor at LPL Financial LLC, based in Fresno, CA, with 19 years of industry experience. Nicholas 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

2600 Ventura St, Fresno, CA, 93721

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History

Regulatory History (1)
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
February 2015
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Nicholas operates several DBAs for his LPL business, including Brighton Investment Advisors, Brighton Investment Solutions, and Brighton SVP, dedicating full-time hours to the latter two. He also sells non-variable insurance products, including life, health, LTC, and fixed annuities, spending minimal time on this activity.

Employment History
Current Registrations
LPL Financial LLC
December 2012 - Present · 13 yrs 10 mos
LPL Financial LLCBroker
December 2012 - Present · 13 yrs 10 mos
Previous Registrations
Edward Jones
October 2007 - December 2012 · 5 yrs 2 mos
Edward JonesBroker
September 2007 - December 2012 · 5 yrs 3 mos
State Registrations52 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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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