Sean Siracusa is a registered investment advisor at LPL Financial LLC, based in Buffalo, NY, with 8 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
1228 Jefferson Ave, Buffalo, NY, 14208
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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.
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Sean operates Northwest Investment Services as a DBA for his LPL business since 2021. He also has a financial institution duty at Northwest Bank since 2023, dedicating minimal time to it.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
MML Investors Services, LLCBroker
Pruco Securities, LLC.Broker
AXA Advisors, LLC
AXA Advisors, LLCBroker
State Registrations2 states
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.