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Katie Bogue

LPL Financial LLC
8 Years of Experience
Campbell, CA
3 DisclosuresBroker
View SEC Summary
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Katie Bogue is a registered investment advisor at LPL Financial LLC, based in Campbell, CA, with 8 years of industry experience. Katie 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

900 E Hamilton Ave Ste 230, Campbell, CA, 95008

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History

Regulatory History (3)
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.
Regulatory
February 2020
Final
Criminal
January 2006
Final Disposition
Employment Separation After Allegations
January 2006
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLCBroker
July 2021 - Present · 5 yrs 3 mos
LPL Financial LLC
July 2021 - Present · 5 yrs 3 mos
LPL Financial LLC
July 2021 - Present · 5 yrs 3 mos
Previous Registrations
Waddell & Reed
October 2018 - July 2021 · 2 yrs 9 mos
Waddell & ReedBroker
May 2018 - July 2021 · 3 yrs 2 mos
State Registrations11 states
ARAZCACOFLHIILNVORTXWA
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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