David Brown is a registered investment advisor at LPL Financial LLC, based in Peru, 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
700 Bear Swamp Rd, Peru, NY, 12972
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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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David operates under two DBAs for his LPL business: SeaComm Personal Financial Advisor Services and AmeriCU Investments. He dedicates full-time hours to these investment-related activities.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
CUNA Brokerage Services, INC.
CUNA Brokerage Services, INC.Broker
TD Ameritrade, INC.
TD Ameritrade Investment Management, LLC
TD Ameritrade, INC.Broker
Edward Jones
Edward JonesBroker
Equity Services, INC.Broker
State Registrations12 states
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