Kathleen
Phan
Lpl Financial LLC
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About this Advisor
Kathleen Phan is a financial advisor working in West Covina, California with a total of 6 years of industry experience. Phan works at Lpl Financial LLC. During their career, the advisor has held roles at National Planning Corporation and Lpl Financial LLC. Phan holds Series 63 and Series 66 licenses, qualifying them as a securities representative, and is approved to operate in California. Lpl Financial LLC is a financial advisory firm based in Fort Mill, SC. It has offices in 9,898 locations and a total of 31,366 employees. It controls $368 billion in assets across its 1,688,501 customer accounts, making it one of the largest investment advisory firms in the country by assets under management. The firm provides services to 3,425 charities and foundations. Of its 1,688,501 client accounts, 31% are associated with high-net-worth individuals who have more than $1 million in assets. Lpl Financial LLC performs a wide range of services, such as financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, educational seminars and other services. Financial management fee schedules typically depend on the type of services offered. Fees billed by Lpl Financial LLC can consist of asset-based, hourly, fixed and commission-based fees.
Certifications and Registrations
Years Registered*
Services Offered
Fee Structure
Office Location
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Lpl Financial LLC Brokerage Details
$368,018,536,946
31,366
1,688,501
$217,956
Investment Advisory Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses or institutional clients
- Pension consulting services
- Selection of other advisers
- Educational seminars/workshops
- Other
Kathleen Phan Work History
Kathleen has been registered as a financial advisor for 6 years.*
Lpl Financial LLC
National Planning Corporation
*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.
Disclosures
Please visit the SEC profile of Kathleen Phan to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.
Financial Advisors at Lpl Financial LLC
Fort Mill, SC
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Naperville, IL
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The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.
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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
