Richard Rosenberg is a registered investment advisor at LPL Financial LLC, based in Chicago, IL, with 30 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
4 E Ohio St Ste 25, Chicago, IL, 60611
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Richard operates Rosenberg Wealth Management as a DBA for his LPL business. This takes about half of Richard's time, with about a quarter of his time spent during trading hours.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Nylife Securities LLCBroker
AXA Advisors, LLC
AXA Advisors, LLCBroker
Geldermann Securities, INC.Broker
Goldman, Sachs & CO.Broker
Morgan Stanley & CO., IncorporatedBroker
A.G. Becker Paribas IncorporatedBroker
State Registrations9 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.