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Mark Walsvick

LPL Financial LLC
47 Years of Experience
Santa Rosa, CA
1 DisclosureBroker
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Mark Walsvick is a registered investment advisor at LPL Financial LLC, based in Santa Rosa, CA, with 47 years of industry experience. Mark 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

1400 N. Dutton Ave Suite 3, Santa Rosa, CA, 95401-0000

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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.
Customer Dispute
August 2000
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Mark owns multiple rental properties, including single-family homes and an office building, dedicating minimal time to these activities. He also operates Walsvick Financial & Tax Services, providing basic tax preparation services, which takes minimal time.

Employment History
Current Registrations
LPL Financial LLC
September 2009 - Present · 17 yrs 1 mo
LPL Financial LLCBroker
September 2009 - Present · 17 yrs 1 mo
Previous Registrations
Associated Planners Investment Advisory INC
February 2005 - October 2009 · 4 yrs 8 mos
Walsvick Financial & Tax Services, LLC
May 2004 - August 2011 · 7 yrs 3 mos
Associated Securities CORP.
March 2004 - September 2009 · 5 yrs 6 mos
Associated Securities CORP.Broker
February 2004 - September 2009 · 5 yrs 7 mos
Legacy Advisory Services, INC.
May 2001 - February 2004 · 2 yrs 9 mos
Legacy Financial Services, INC.Broker
December 2000 - February 2004 · 3 yrs 2 mos
Oak Tree Securities, INC.Broker
February 1995 - December 2000 · 5 yrs 10 mos
Consolidated Investment Services, INC.Broker
April 1992 - February 1995 · 2 yrs 10 mos
Planned Investments INC.Broker
August 1985 - April 1992 · 6 yrs 8 mos
Financial Planners Equity CorporationBroker
April 1984 - August 1985 · 1 yr 4 mos
Protected Investors of AmericaBroker
April 1979 - April 1984 · 5 yrs
State Registrations4 states
CANVORTX
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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