Securities and Advisory Services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC.
The LPL Financial Registered Representatives associated with this page may only discuss and/or transact business with residents of the following states: CT, FL, KY, NJ, NY, NC, OH, PA, and SC.
*Winners appearing on this page do not pay a fee to be considered or to win the Five Star Award. Professionals with a digital profile have paid a promotional fee.
This award was issued on July 1, 2021 by Five Star Professional (FSP) for the time period July 1, 2021 through June 30, 2022. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award winners may pay for marketing tools, including this advertisement. The award is based on 10 objective criteria. Eligibility criteria required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or FSP's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP's consumer complaint process; feedback may not be representative of any one client's experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. FSP does not evaluate quality of services provided to clients. The award is not indicative of the wealth manager's future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients? assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by FSP or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by FSP in the future. 709 Westchester-area wealth managers were considered for the award; 88 (12% of candidates) were named 2021 Five Star Wealth Managers. 2020: 661 considered, 93 winners; 2019: 654 considered, 115 winners; 2018: 680 considered, 85 winners; 2017: 492 considered, 98 winners; 2016: 641 considered, 149 winners; 2015: 1,333 considered, 288 winners; 2014: 3105 considered, 283 winners; 2013: 1,992 considered, 316 winners; 2012: 1,598 considered, 300 winners.