John Traut
LPL
660 White Plains Rd
Suite 530
Tarrytown, NY 10591
3473422419
About LPL
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
7
Number of Years with Current Firm
2
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
Yes
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
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
N/A
Minimum Fee Charged for Hourly Planning Accounts
N/A
Education
MBA - MBA
SUNY New Paltz
05/2012 -12/2016
Disclosures
RothIRA.org provides referrals to financial professionals of LPL Financial, LLC (LPL). RothIRA.org is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay RothIRA.org cash compensation for these referrals, which creates the incentive for RothIRA.org to make these referrals, resulting in a conflict of interest.
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
Securities offered through LPL Financial, member FINRA/SIPC. Investment advice offered through Stratos Wealth Partners, a registered investment advisor. Stratos Wealth Partners and J.M. Franklin & Company, LLC are separate entities from LPL Financial. Trading instructions sent via email, fax, or voicemail will not be honored. There is no assurance that these messages can be retrieved on a timely basis, nor is there any sure method of confirming the customer identity. The information contained in this message is being transmitted to and is intended for the use of only the individual(s) to whom it is addressed. If the reader of this message is not the intended recipient, you are hereby advised that any dissemination, distribution or copying of this message is strictly prohibited. If you have received this message in error, please immediately delete.