Sandra Smith is a registered investment advisor at LPL Enterprise, LLC, based in Tucson, AZ, with 14 years of industry experience. Sandra operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
4626 E. Ft. Lowell Rd, Suite G, Tucson, AZ, 85712
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Sandra operates under the DBA Auxilia Asset Management for her LPL business. This investment-related activity takes up Sandra's full-time commitment, including 120 hours per month during trading hours.
Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
AXA Advisors, LLCBroker
State Registrations17 states
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