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CFP
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CFP

Alan Modest

LPL Financial LLC
48 Years of Experience
Boynton Beach, FL
BrokerSells Insurance
View SEC Summary
View SEC Summary

Alan Modest is a CFP-designated registered investment advisor at LPL Financial LLC, based in Boynton Beach, FL, with 48 years of industry experience. Alan 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
—
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Location

Boynton Beach, FL

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History

Regulatory History
Clean regulatory record

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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Other Business ActivitiesSells Insurance

Alan is associated with Alan K. Modest & Associates, a DBA involved in fixed insurance lines including life, health, dental, and disability insurance, as well as employee benefit plans. This activity is investment-related.

Employment History
Current Registrations
LPL Financial LLC
December 1992 - Present · 33 yrs 10 mos
LPL Financial LLCBroker
December 1989 - Present · 36 yrs 10 mos
Previous Registrations
Linsco Financial Group, INC.Broker
January 1987 - December 1989 · 2 yrs 11 mos
Petron Securities, LTD.Broker
December 1983 - February 1989 · 5 yrs 2 mos
Financial Consultants, INC.Broker
April 1980 - December 1983 · 3 yrs 8 mos
Guardian Investor Services CorporationBroker
December 1977 - July 1986 · 8 yrs 7 mos
The Equitable Life Assurance Society of the United StatesBroker
November 1977 - January 1978 · 2 mos
State Registrations5 states
FLMANYRIVA
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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