Keith Wheeler is a registered investment advisor at LPL Financial LLC, based in Novato, CA, with 37 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
350 Ignacio Blvd, Suite 105, Novato, CA, 94949
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Keith operates Alpha Wealth Management and Planning LLC as a DBA for his LPL business since 2020. He also provides investment advisory services through Alpha Wealth Management and Planning, LLC, dedicating nearly full-time hours to this activity.
Employment History
Current Registrations
LPL Financial LLC
Alpha Wealth Management and Planning LLC
LPL Financial LLCBroker
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Robert W. Baird & CO. IncorporatedBroker
Lehman Brothers INC.Broker
Legg Mason Wood Walker, IncorporatedBroker
U.S. Bancorp Piper Jaffray INC.Broker
Donaldson, Lufkin & Jenrette Securities CorporationBroker
Westpac Pollock Government Securities INC.Broker
L. F. Rothschild & CO. IncorporatedBroker
State Registrations8 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.