Kate Ferguson is a registered investment advisor at LPL Financial LLC, based in Rock Hill, SC, with 15 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
334 Oakland Ave, Rock Hill, SC, 29730
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Kate operates Ferguson Financial LLC as a DBA for her LPL business since 2021. She is also a notary in South Carolina since 2019.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Capital Investment Advisory Services, LLC
Capital Investment Group, INC.Broker
LPL Financial LLCBroker
LPL Financial LLC
Curian Capital, LLC
Jackson National Life Distributors LLCBroker
Sunamerica Capital Services, INC.Broker
Wells Fargo Advisors Financial Network, LLC
Wells Fargo Advisors Financial Network, LLCBroker
State Registrations1 state
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