Diane Herring is a registered investment advisor at LPL Financial LLC, based in Devon, PA, with 44 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
Devon, PA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Diane operates Herring Financial Management as a DBA for her LPL business. This activity, related to investments and trading, takes nearly full-time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Grove Point Advisors, LLC
H. Beck, INC.
Grove Point Investments, LLCBroker
Hackett Associates, INC.Broker
Elkins & CO.Broker
Prudential Securities IncorporatedBroker
E. F. Hutton & Company INCBroker
State Registrations25 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.