Richard Nelson is a registered investment advisor at LPL Financial LLC, based in Lynnwood, WA, with 43 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
19220 Alderwood Mall Parkway, Lynnwood, WA, 98036
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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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Richard operates his LPL business under the DBA BECU Investment Services. This activity is investment-related and conducted at his reported business location.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Clearing Services, LLC
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Linsco/private Ledger CORP.Broker
Wells Fargo Securities INC.Broker
Financial Network Investment CorporationBroker
Titan/value Equities Group, INC.Broker
Goodlin Financial, INC.Broker
Murphey Favre, INC.Broker
State Registrations13 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.