LPL Financial

Wealth Management Firm in Waunakee, WI

Firm Info
Address: Centennial Heights, 804 Ganser Dr, Waunakee, WI 53597, USA
Phone: (608) 850-4028

Firm Size
Assets Under Management: $269 billion
# of Advisors: 16,527
# of Clients: 1.1 million
Client to Advisor Ratio: 64:1
Average Account Size: $254,931
# of Offices: 1

Services Offered
  • Financial Planning
  • Portfolio Management for Individuals & Small Businesses
  • Portfolio Management for Businesses or Institutional Clients
  • Pension Consulting Services
  • Selection of Others Advisors
  • Educational Seminars & Workshops
  • Other

Types of Clients
  • Individuals (Not High Net Worth)
  • Individuals High Net Worth

    *>=750k in Investable Assets or >=1.5m of Estimated Total Net Worth

  • Pension & Profit Sharing Plans
  • Charitable Organizations
  • State & Municipal Govt Entities
  • Sovereign Wealth Funds & Foreign Official Institutions
  • Corporations or Other Businesses Not Listed Above
  • Other

Available Fee Structures
  • Percentage of Assets Under Management (AUM)
  • Hourly
  • Fixed Fees (Other than subscription)
  • Commissions

Get Connected with a Financial Advisor

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Lpl Financial LLC Overview

LPL FINANCIAL LLC is a well-established firm that has been providing investment services since 1975. They are a registered investment advisory firm that operates as a broker-dealer and insurance broker/agent. The firm operates out of Fort Mill, SC, and offers fee-based arrangements to their clients. The range of services offered by LPL FINANCIAL LLC is diverse and caters to different needs. The firm offers financial planning services to help individuals and small businesses develop long-term strategies. They also provide portfolio management services for individual and institutional clients, as well as businesses. Additionally, they offer pension consulting services to help clients navigate the complexities of pension plans. LPL FINANCIAL LLC goes above and beyond by offering educational seminars and workshops to clients. This is an important service that helps clients gain a deeper understanding of financial planning and investment strategies. The firm also provides consulting and other non-discretionary advisory services to clients, demonstrating their commitment to comprehensive investment solutions. Overall, LPL FINANCIAL LLC is a reputable investment advisory firm that has a long-standing track record. They offer a range of services that cater to different investment needs, and provide educational resources to clients to help them make informed decisions about their finances.

LPL FINANCIAL LLC caters to a diverse range of clients, and their clients include individuals, high net worth individuals, and pension or profit sharing plans. Additionally, the firm also serves charitable organizations, state or municipal government entities, and sovereign wealth funds. LPL FINANCIAL LLC is equipped to serve various other types of corporation types and other types of clients not listed, ensuring that their services are accessible for a wide range of clients. LPL FINANCIAL LLC offers a variety of fee structures depending on the service provided. Clients can choose to pay a percentage of assets under management (AUM), an hourly fee, fixed fees, or commissions. The percentage of AUM fee structure is based on the percentage of assets that the firm manages on behalf of the client. Alternatively, the hourly fee includes a set rate per hour for the time spent working on the client's account. Fixed fees are a set amount paid for a specific service provided. Lastly, commissions are a payment arrangement resulting from the sale of financial products. Clients can select a fee structure that best suits their requirements and preferences, ensuring that they receive tailored service and cost-effective investment solutions.

Typical Clients, Fee Structures & Investment Minimum

According to LPL Financial LLC's Part 2 Brochure, there is an investment minimum required for opening an account with the firm, although the specific amount is not mentioned. The brochure states that "the account opening minimum varies depending on the type of account, the type of investment, and other factors," indicating that the investment minimum may be different for each client and investment option. Therefore, individuals interested in opening an account with LPL Financial LLC should contact the firm directly to inquire about the specific investment minimum for their desired investment.

How This Office Can Help Waunakee, WI Residents

LPL Financial is a financial advisory firm that helps clients in Waunakee, WI with a wide range of financial services. The firm's financial advisors help clients develop personalized financial plans and investment strategies, based on their unique needs and goals. They offer a variety of services, such as retirement planning, estate planning, wealth management, and tax planning. Clients in Waunakee, WI may face a variety of financial situations, including retirement planning, saving for college expenses, or preparing for unexpected life events. With years of experience and a deep understanding of financial markets and investment products, LPL Financial's advisors can help clients navigate these complex financial situations. They provide expert advice and guidance, helping clients to make informed decisions and achieve their long-term financial goals.

To view the Minimum Investment and Fee Schedule for Lpl Financial LLC, visit their Part 2 Brochure.

Services Offered by Lpl Financial LLC

Core Advisor Services
Financial Planning

Financial planning services encompass the process of devising strategies for your future financial well-being, including preparing for events such as retirement, funding your child's college education, or planning for the transfer of assets.

Portfolio Management for Individuals & Small Businesses

Portfolio management entails the careful selection and strategic management of investment combinations tailored to meet the needs of individuals and small businesses.

Market Timing Services

Market timing services involve the endeavor to generate short-term profits from investments by capitalizing on opportunities to buy at low prices and sell at high prices.

Other Services
Selection of Other Advisors

The firm provides support in selecting and engaging other advisors who possess specialized expertise to complement your financial needs.

Publication of Periodicals or Newsletters

The firm engages in the dissemination of diverse financial educational materials through the publication of periodicals.

Educational Seminars & Workshops

The firm organizes and conducts seminars or workshops aimed at enlightening investors on various financial concepts.


Fee Structures

Financial advisory fees usually are based on the services provided. Fee types charged by Lpl Financial LLC most likely consist of the following fee types: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm.

Available
Percentage of Assets Under Management (AUM)
Hourly
Fixed Fees (Other than subscription)
Commissions
Unavailable
Subscription (Newsletter or Periodical)
Performance-based Fees
Other

Types of Clients

*The Securities & Exchange Commission defines someone as “high net worth” if they have $750,000 or more in investable assets or $1.5M of estimated total net worth.


This Office Location

Firm location Centennial Heights, 804 Ganser Dr, Waunakee, WI 53597, USA
Phone (608) 850-4028
Directions
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Other Office Locations

Firm Headquarters
Firm headquarters location 1055 LPL WAY, FORT MILL, SC 29715, United States

This firm has no other locations.

State Registrations

Lpl Financial LLC is registered to service clients in the following states:

  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • District of Columbia
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Massachusetts
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Ohio
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Puerto Rico
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Virgin Islands

Disciplinary History

Lpl Financial LLC does not have any disclosures. Please visit it's Form ADV for more details.

FREQUENTLY ASKED QUESTIONS

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