DIRECTORY OF REGISTERED ADVISORS
National Coverage
Local Professionals
LPL Financial DBA Ten40Investing, www.ten40investing.llc
404 N. 31st Street
Suite 423
Billings, MT 59101
406-409-3450
About LPL Financial DBA Ten40Investing, www.ten40investing.llc
At Ten40Investing, there is a large team of specialists behind us at LPL Financial that partner & specialize with our independent branch for security, enhanced strategies, and compliance oversight for the benefit of our clients. Ultimately, being an independent Advisor meant not being subject to traditional business models common to the financial and broker industry, operating as a self-employed fiduciary, setting our fees lower than the general competition, having more flexibility, and tools for clients' portfolios and financial plan -- all for the clients' greater benefit.
At LPL Financial - we believe that a better investment experience begins with independent, personalized advice. That means that when your financial professional works with LPL, they have the freedom to focus solely on your objectives and financial goals. They're free to build their own personal relationships with their clients. Free to choose the business model and practices that work best for them. And free to recommend only the investment strategies that they believe will best serve their clients.
- LPL Financial 8/02/2022
See Disclosures
General Information
Firm Start Year
2024
No. of Employees
1
CRD#
3071345, 7082044
Firm CRD#
6413
Insurance License#
3000579262
States Licensed in
MT, FL
Work with the following types of clients
Businesses, Individual Investors
Advisory Services Provided
Financial Advice & Consulting, Investment Advice & Management, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Financial Planning for Individuals, Education Funding and Planning
Services
Investment Types
Mutual Funds, Alternative Investments, Exchange Traded Funds (ETFs), Insurance, Stocks, Bonds
Can meet clients in the following ways
Your Home, Our Office, Phone, Email, Your Office, Video Conference
Compliance
Registered Investment Advisor
Yes
Registered Representative
Yes
Investment Advisor Representative
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
Securities Licenses
Series 66, Series 7
Insurance and Annuity Licenses
Health, Life, Variable Annuity, Long Term Care, Annuity, Variable Life
Compensation and Fees
Minimum Portfolio Size for New Managed Accounts
$100,000
Compensation Methods
Based on Assets, Hourly, Flat Fee, Commissions
Fee % Based on Assets
0.9
Education
Bachelor of Science - Business Administration: Finance Option
Montana State University Billings
09/01/2017 -4/22/2021
Disclosures
p>FinancialAdvisor.net provides referrals to financial professionals of LPL Financial, LLC (LPL). FinancialAdvisor.net is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay FinancialAdvisor.net cash compensation for these referrals, which creates the incentive for FinancialAdvisor.net 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 and advisory services are offered through LPL Financial (LPL), a registered investment advisor and broker-dealer (member FINRA/SIPC). Insurance products are offered through LPL or its licensed affiliates. Ten40Investing, LLC are not registered as a broker-dealer or investment advisor. Registered representatives of LPL offer products and services using LPL Financial and may also be employees of Ten40Investing, LLC. These products and services are being offered through LPL or its affiliates, which are separate entities from, and not affiliates of, Ten40Investing, LLC. Securities and insurance offered through LPL or its affiliates are: Not Insured by FDIC or Any Other Government Agency, Not Bank Guaranteed, Not Bank Deposits or Obligations, May Lose Value.