TrueAdvisor
TrueAdvisor
NG
ChFC
NG
ChFC

Neal Gordon

LPL Financial LLC
16 Years of Experience
Rockaway, NJ
BrokerSells Insurance
View SEC Summary
View SEC Summary

Neal Gordon is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Rockaway, NJ, with 16 years of industry experience. Neal 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
—
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Location

Rockaway, NJ

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History

Regulatory History
Clean regulatory record

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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Other Business ActivitiesSells Insurance

Neal works with Gladstone Wealth Partners and Gordon Wealth Planning, spending all of his time on these investment-related activities. He also engages in non-variable insurance activities through Book of Brokers and other entities, dedicating minimal time to each.

Employment History
Current Registrations
LPL Financial LLC
May 2021 - Present · 5 yrs 5 mos
LPL Financial LLCBroker
May 2021 - Present · 5 yrs 5 mos
Previous Registrations
Raymond James Financial Services Advisors, INC
February 2018 - June 2021 · 3 yrs 4 mos
Raymond James Financial Services, INC.Broker
February 2018 - June 2021 · 3 yrs 4 mos
MML Investors Services, LLC
March 2017 - January 2018 · 10 mos
MML Investors Services, LLCBroker
March 2017 - January 2018 · 10 mos
Msi Financial Services, INC.Broker
October 2015 - March 2017 · 1 yr 5 mos
Msi Financial Services, INC.
October 2015 - March 2017 · 1 yr 5 mos
J.P. Morgan Securities LLCBroker
October 2012 - October 2015 · 3 yrs
J.P. Morgan Securities LLC
October 2012 - October 2015 · 3 yrs
Chase Investment Services CORP.
November 2011 - October 2012 · 11 mos
Chase Investment Services CORP.Broker
November 2011 - October 2012 · 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2010 - November 2011 · 1 yr 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2009 - November 2011 · 2 yrs
State Registrations10 states
AZCAFLMDNCNJNYPATNTX
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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