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Carter Chotin

LPL Financial LLC
17 Years of Experience
Covington, LA
1 DisclosureBrokerSells Insurance
View SEC Summary
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Carter Chotin is a registered investment advisor at LPL Financial LLC, based in Covington, LA, with 17 years of industry experience. Carter 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
28129 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
—
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Location

Covington, LA

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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.
Employment Separation After Allegations
April 2021
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Carter is involved with multiple insurance agencies, including Erwin Insurance Agency and Sterling Bridge Insurance Agency, selling non-variable, property, and casualty insurance. These activities take a few hours per week, with additional time spent during securities trading.

Employment History
Current Registrations
LPL Financial LLC
June 2021 - Present · 5 yrs 4 mos
LPL Financial LLCBroker
June 2021 - Present · 5 yrs 4 mos
Previous Registrations
MML Investors Services, LLC
January 2015 - April 2021 · 6 yrs 3 mos
MML Investors Services, LLCBroker
November 2009 - April 2021 · 11 yrs 5 mos
Park Avenue Securities LLCBroker
January 2009 - November 2009 · 10 mos
State Registrations1 state
LA
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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