Christopher Faulk
Christopher Faulk is a ChFC-designated registered investment advisor at LPL Enterprise, LLC, based in Sherman Oaks, CA, with 6 years of industry experience. Christopher 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
15303 Ventura Boulevard, Suite 1550, Sherman Oaks, CA, 91403
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Christopher works as a financial professional for Prudential Advisors and is also involved with Intuit TurboTax, both full-time. He is also the founder of Christopher A. Faulk, SecuritWealth, a non-variable insurance business, and dedicates about 10-20% of his time to it.
Employment History
Current Registrations
LPL Enterprise, LLCBroker
LPL Enterprise, LLC
Previous Registrations
Alphastar Capital Management
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Securities America Advisors, INC.
Securities America, INC.Broker
Nylife Securities LLCBroker
Zephyr Investment Management
Fsc Securities CorporationBroker
State Registrations1 state
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.