Tone Tran is a registered investment advisor at LPL Financial LLC, based in Cupertino, CA, with 17 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
1111A Wolfe Road, Cupertino, CA, 95014
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Tone operates under the DBA BMO Investment Services for his LPL business. He also manages Koji Sake Lounge LLC on weekend evenings, dedicating about 10-20% of his time to this non-investment related activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Fidelity Personal and Workplace Advisors
Fidelity Brokerage Services LLCBroker
LPL Financial LLCBroker
LPL Financial LLC
Bancwest Investment Services, INC. (bwis)
Bancwest Investment Services, INC.Broker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
State Registrations1 state
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.