Asha Jain is a registered investment advisor at LPL Financial LLC, based in Scottsdale, AZ, with 38 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
6909 E Greenway Pkwy, Ste 295, Scottsdale, AZ, 85254
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Regulatory History (1)
Customer Dispute
June 2006Other Business ActivitiesSells Insurance
Asha works full-time for Stratos Wealth Partners as a DBA for LPL business and as a Registered Investment Advisor Hybrid. Asha also sells non-variable insurance (accident, health, life) and works as an insurance agent for Vanbridge, dedicating a few hours per week to each activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Stratos Wealth Partners, LTD
Previous Registrations
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Principal Financial Securities,inc.Broker
Dickinson & CO.Broker
Dean Witter Reynolds INC.Broker
The Stuart-James Company, IncorporatedBroker
State Registrations7 states
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.