Katharine Charton is a registered investment advisor at LPL Financial LLC, based in Albany, NY, with 11 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
18 Corporate Woods Blvd Fl 2, Albany, NY, 12211
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Katharine operates under the DBA Rosemont Financial Group for her LPL business since 2020 and has been providing tax preparation, accounting, and CPA services as Kate Charton, EA since 2020, dedicating nearly full-time hours to it. She also participates in Arbonne International, a multi-level marketing company, since 2017 and acts in a fiduciary capacity as POA for her mother-in-law since 2020, dedicating about 10-20% of her time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cambridge Investment Research, INC.Broker
Cetera Advisor Networks LLCBroker
Northern Lights Distributors, LLCBroker
State Registrations1 state
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