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Mary Setter

LPL Financial LLC
11 Years of Experience
Buffalo, NY
1 DisclosureBroker
View SEC Summary
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Mary Setter is a registered investment advisor at LPL Financial LLC, based in Buffalo, NY, with 11 years of industry experience. Mary 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
—
View Full SEC Brochure

Location

361 Delaware Avenue, Buffalo, NY, 14202

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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.
Financial
March 2017
Final
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLCBroker
May 2026 - Present · 5 mos
LPL Financial LLC
April 2026 - Present · 6 mos
Lawley Retirement Advisors
December 2025 - Present · 10 mos
Previous Registrations
LPL Financial LLC
November 2025 - March 2026 · 4 mos
LPL Financial LLCBroker
November 2025 - March 2026 · 4 mos
Osaic Wealth, INC.
June 2024 - May 2025 · 11 mos
Osaic Wealth, INC.Broker
June 2024 - May 2025 · 11 mos
Securities America Advisors, INC.
March 2024 - June 2024 · 3 mos
Securities America, INC.Broker
May 2019 - June 2024 · 5 yrs 1 mo
Northwestern Mutual Investment Services, LLCBroker
January 2018 - August 2018 · 7 mos
1st Global Capital CORP.Broker
June 2016 - August 2017 · 1 yr 2 mos
AXA Advisors, LLCBroker
June 2014 - March 2016 · 1 yr 9 mos
Wells Fargo Advisors Financial Network, LLCBroker
November 2012 - April 2014 · 1 yr 5 mos
State Registrations1 state
NY
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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