Lee Rosenberg
Lee Rosenberg is a CFP-designated registered investment advisor at LPL Financial LLC, based in Boca Raton, FL, 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
7777 Glades Road, Suite 100, Boca Raton, FL, 33434
Get directionsHistory
Regulatory History (6)
Customer Dispute
December 2019Customer Dispute
June 2017Customer Dispute
May 2009Customer Dispute
March 2009Customer Dispute
January 2009Civil
April 1984Other Business ActivitiesSells Insurance
Lee is a founding member and financial advisor at American Investment Planners LLC, dedicating about 10-20% of his time. He also sells LTC, health, and life insurance products, and handles insurance renewals, but spends minimal time on these activities. Lee is also an author and a member of AIP Florida USA.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
American Investment Planners LLC
Cadaret Grant & CO INC
Cadaret Grant & CO INC
Cadaret, Grant & CO., INC.Broker
Cadaret, Grant & CO., INC.Broker
Nathan & Lewis Securities, INC.Broker
Home Life Equity Sales CORP.Broker
Home Life Insurance CompanyBroker
State Registrations34 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.