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CFP
KC
CFP

Kara Case

LPL Financial LLC
10 Years of Experience
Auburn Hills, MI
Broker
View SEC Summary
View SEC Summary

Kara Case is a CFP-designated registered investment advisor at LPL Financial LLC, based in Auburn Hills, MI, with 10 years of industry experience. Kara is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2701 Cambridge Ct Ste 530, Auburn Hills, MI, 48326

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History

Regulatory History
Clean regulatory record

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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Other Business Activities

Kara operates her LPL business through HFG/Herbert Financial Group LLC, dedicating the majority of her time to these investment-related activities. She also has a business entity, KNC Financial, for tax/investment purposes, which will require a full-time commitment starting in 2025.

Employment History
Current Registrations
LPL Financial LLC
December 2019 - Present · 6 yrs 10 mos
LPL Financial LLCBroker
December 2019 - Present · 6 yrs 10 mos
Previous Registrations
Centaurus Financial, INC.
October 2017 - December 2019 · 2 yrs 2 mos
Centaurus Financial, INC.Broker
August 2017 - December 2019 · 2 yrs 4 mos
J.P. Morgan Securities LLCBroker
December 2015 - July 2017 · 1 yr 7 mos
State Registrations15 states
AZCODCFLILKSMDMINCNHOHPATNTXWA
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.
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