Ali Mozaffar is a registered investment advisor at LPL Financial LLC, based in Potomac, MD, 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
Potomac, MD
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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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Ali operates under the DBA Perleo Capital Management for his LPL business since June 2020. He is also a non-profit board member, dedicating about 10-20% of his time to this role.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
United Brokerage Services INC
United Brokerage Services, INCBroker
Capital One Advisors, LLC
Capital One Investing, LLCBroker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
First Command Financial Planning, INC.
First Command Financial Planning, INC.Broker
State Registrations6 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.