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CFP
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CFP

Arthur Fu

LPL Financial LLC
45 Years of Experience
El Segundo, CA
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Arthur Fu is a CFP-designated registered investment advisor at LPL Financial LLC, based in El Segundo, CA, with 45 years of industry experience. Arthur 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

400 Continental Blvd 6th Flr, Ste 6072, El Segundo, CA, 90245

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History

Regulatory History (2)
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.
Financial
October 2023
Final
Customer Dispute
April 2003
Pending
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Arthur is an agent for accident & health, life, and variable insurance. He also operates Arthur R. Fu Investments, Inc. as a DBA for securities-related business.

Employment History
Current Registrations
LPL Financial LLCBroker
June 2025 - Present · 1 yr 4 mos
LPL Financial LLC
June 2025 - Present · 1 yr 4 mos
Previous Registrations
Western International Securities, INC.Broker
May 2008 - June 2025 · 17 yrs 1 mo
Western International Securities
May 2008 - June 2025 · 17 yrs 1 mo
Financial West GroupBroker
January 2006 - June 2008 · 2 yrs 5 mos
Financial West Group
January 2006 - June 2008 · 2 yrs 5 mos
Citigroup Global Markets INC.Broker
May 2002 - February 2006 · 3 yrs 9 mos
Citigroup Global Markets INC.
May 2002 - February 2006 · 3 yrs 9 mos
Prudential Securities Incorporated
July 1997 - May 2002 · 4 yrs 10 mos
Prudential Securities IncorporatedBroker
May 1994 - May 2002 · 8 yrs
Painewebber IncorporatedBroker
August 1990 - May 1994 · 3 yrs 9 mos
Oppenheimer & CO., INC.Broker
November 1987 - September 1990 · 2 yrs 10 mos
E. F. Hutton & Company INCBroker
September 1985 - November 1987 · 2 yrs 2 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
August 1984 - October 1985 · 1 yr 2 mos
Connecticut Mutual Financial Services, INC.Broker
August 1982 - October 1983 · 1 yr 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1980 - October 1983 · 3 yrs 5 mos
State Registrations10 states
AZCACOFLNYOHORTXVAWA
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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