Sean Carroll
Sean Carroll is a registered investment advisor at LPL Enterprise, LLC, based in Sherman Oaks, CA, with 6 years of industry experience. Sean operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
15303 Ventura Boulevard, Suite 1550, Sherman Oaks, CA, 91403
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Regulatory History (4)
Criminal
October 2005Criminal
April 2005Criminal
February 2005Criminal
January 2005Employment History
Current Registrations
LPL Enterprise, LLCBroker
LPL Enterprise, LLC
Previous Registrations
Fidelity Personal and Workplace Advisors
Fidelity Brokerage Services LLCBroker
VALIC Financial Advisors, INC.
VALIC Financial Advisors, INC.Broker
Planmember Securities CorporationBroker
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.