JohnTraut- Financial Advisor Tarrytown, NY

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About John Traut

At LPL Financial, financial advisors have the freedom they deserve to choose the business model, services, and financial technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships because they know their clients best. LPL's mission is to take care of our advisors, so they can take care of their clients.

See Disclosures

General Information

Firm Start Year

1925

CRD#

6676325

Firm CRD#

6413

Insurance License#

1447737

Years of Experience in Financial Services

Number of Years with Current Firm

Work with the following types of clients

Individual Investors, Non-Profit Organizations, Businesses

Advisory Services Provided

Financial Advice & Consulting, Investment Advice & Management, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Money Management

Compliance

Registered Investment Advisor

Registered Representative

Investment Advisor Representative

Acknowledged fiduciary

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

AWMA^®

Securities Licenses

Series 7, Series 66

Insurance and Annuity Licenses

Disability, Accident, Health, Life, Variable Annuity, Long Term Care, Variable Life

Firm Information

Assets Managed by Advisor

$5,000,000

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$10,000

Compensation Methods

Commissions, Flat Fee, Based on Assets

Fee % Based on Assets

1-1.5%

Minimum Fee Charged for Managed Accounts

Minimum Fee Charged for Hourly Planning Accounts

Education

MBA - MBA

SUNY New Paltz
05/2012 -12/2016

Disclosures

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LPL ADV 2A

https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf

Additional Detailed Disclosures

https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf

Disclaimer

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John Traut

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