Bruce Woods is a registered investment advisor at LPL Financial LLC, based in Concord, CA, with 42 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
1355 Willow Way Ste 275, Concord, CA, 94520-8103
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Bruce has a business entity, Dubois Enterprises, Inc., for tax/investment purposes. He also operates Woods Financial & Insurance Services as a DBA for his LPL business.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Associated Planners Investment Advisory INC
Associated Securities CORP.
Associated Securities CORP.Broker
Fsc Securities Corporation
Strategic Wealth Advisors Group
Fsc Securities CorporationBroker
SifeBroker
State Registrations31 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.