LPL Financial

Retirement Planning Firm in Santa Cruz, CA

Firm Info
Address: 5187 Empire Grade, Santa Cruz, CA 95060, USA
Phone: (831) 427-3040

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 Fee Based registered investment advisory firm that has been providing top-notch financial services since 1975. The firm is headquartered in Fort Mill, SC, and has become a well-regarded company within the industry. Being a broker-dealer and an insurance broker/agent, LPL Financial LLC has become a trusted source of investment advice for its clients. The firm offers a range of services geared towards individuals, small businesses, and institutional clients. Their financial planning and portfolio management services are tailored to meet the unique needs of each client. LPL Financial LLC also offers pension consulting services, ensuring that clients are well-prepared for their retirement years. Clients can also choose to have the firm select other advisors on their behalf. In addition to their portfolio management and financial planning services, LPL Financial LLC takes pride in their educational seminars and workshops. These resources provide clients with the knowledge and tools needed to make smart financial decisions. The firm also offers consulting services, making it the go-to company for all types of financial needs. With their years of experience, LPL Financial LLC is well-positioned to continue to help clients achieve their financial goals.

LPL Financial LLC is a full-service investment firm that caters to a diverse range of clients. From individuals to state or municipal government entities, the firm serves various types of clients, including high net worth individuals, charitable organizations, sovereign wealth funds, and other corporation types not listed. LPL Financial LLC also caters to other distinctive types of clients, making their services accessible to a wider audience. Regarding its fee structures, LPL Financial LLC provides various options to its clients, depending on the services they require. Clients can choose from a percentage of AUM, which stands for "assets under management," an hourly rate, fixed fees, or commissions. Depending on the service provided, clients can pick the most convenient fee structure for them. The "percentage of AUM" option consists of fees that are a percentage of the total value of the assets under LPL Financial LLC's management. Whereas the "hourly" and "fixed fee" options involve charges that depend on the service provided or the time spent to accomplish the task. Lastly, the "commission" fee structure pays LPL Financial LLC for executing securities trades and usually derives income from selling products for the client, such as insurance or annuities. Overall, LPL Financial LLC's diverse fee structure caters to a broad range of clients with different financial backgrounds and investment goals.

Typical Clients, Fee Structures & Investment Minimum

According to LPL FINANCIAL LLC's Part 2 Brochure, there is no mention of an investment minimum. Therefore, it is unclear what their investment minimum may be.

How This Office Can Help Santa Cruz, CA Residents

LPL Financial is committed to helping its clients in Santa Cruz, CA achieve their financial goals. With over 15,000 financial advisors nationwide, they are well-equipped to handle any financial situation. Individuals living in Santa Cruz may face financial challenges such as rising living costs, high real estate prices, and the impact of changing government policies on taxes and investments. LPL Financial has the expertise to navigate these challenges and help clients make informed decisions about their finances. In addition, LPL Financial offers personalized financial planning services that are tailored to each client’s unique needs and goals. This includes investment strategies, retirement planning, tax planning, and estate planning. They also understand the importance of staying up-to-date with the latest technology and financial trends, and offer a range of digital tools and resources for clients to access their accounts and monitor their investments. Whether you are an individual, business owner, or retiree, LPL Financial is committed to helping you achieve financial success.

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 5187 Empire Grade, Santa Cruz, CA 95060, USA
Phone (831) 427-3040
Directions
Google My Business Reviews:

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.