Douglas Dee is a registered investment advisor at LPL Financial LLC, based in Austin, TX, with 10 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B
Fee Structure
Minimum Investment:$1K
Investment management only (planning not offered)
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.
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Location
Austin, TX
Get directionsHistory
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.
Customer Dispute
March 2017Denied
Employment History
Current Registrations
LPL Financial LLCBroker
March 2024 - Present · 2 yrs 2 mos
LPL Financial LLC
March 2024 - Present · 2 yrs 2 mos
Previous Registrations
Cetera Advisor Networks LLCBroker
August 2023 - March 2024 · 7 mos
Cetera Investment Advisers LLC
August 2023 - March 2024 · 7 mos
Securian Financial Services, INC.Broker
January 2021 - August 2023 · 2 yrs 7 mos
Securian Financial Services, INC.
January 2021 - August 2023 · 2 yrs 7 mos
Cri Securities, LLC
January 2021 - October 2021 · 9 mos
Cri Securities, LLCBroker
January 2021 - October 2021 · 9 mos
Edward Jones
January 2016 - December 2020 · 4 yrs 11 mos
Edward JonesBroker
November 2015 - December 2020 · 5 yrs 1 mo
State Registrations7 states
CAGAILMONYTXUT
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.