TrueAdvisor
TrueAdvisor
FC
FC

Frank Chiappone

LPL Financial LLC
45 Years of Experience
Latham, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Frank Chiappone is a registered investment advisor at LPL Financial LLC, based in Latham, NY, with 45 years of industry experience. Frank 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

3 Lear Jet Ln Stes 200N & 201N, Latham, NY, 12110

Get directions

History

Regulatory History (1)
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
September 2013
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Frank is an advisor at RMR Wealth Management, dedicating about a quarter of his time to advising clients. He also works as an account executive or agent for numerous life insurance companies and a long-term care insurance carrier, spending a significant amount of time on life insurance sales.

Employment History
Current Registrations
LPL Financial LLC
March 2026 - Present · 7 mos
LPL Financial LLCBroker
March 2026 - Present · 7 mos
Previous Registrations
Rmr Wealth Management
November 2019 - March 2026 · 6 yrs 4 mos
Dlg Wealth Management LLC
March 2012 - January 2018 · 5 yrs 10 mos
Dinosaur Financial Group, L.L.CBroker
January 2010 - March 2026 · 16 yrs 2 mos
Mcginn, Smith & CO., INC.Broker
February 1989 - December 2009 · 20 yrs 10 mos
First Albany CorporationBroker
January 1988 - August 1988 · 7 mos
Sherwood Capital, INC.Broker
February 1987 - March 1988 · 1 yr 1 mo
First Jersey Securities, INC.Broker
April 1981 - January 1987 · 5 yrs 9 mos
State Registrations11 states
CACTFLGAMANCNHNJNVNYVA
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.
More Advisors
More financial advisors in Latham, NY →All financial advisors in New York →