Gregory Riggs is a registered investment advisor at LPL Financial LLC, based in Bothell, WA, 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
Bothell, WA
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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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Gregory operates Riggs Wealth Management as a DBA for his LPL business since January 2023. This activity is investment-related.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
Kms Financial Services, INC
Kms Financial Services, INC.Broker
First Union Securities, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Prudential Securities IncorporatedBroker
Equitec Securities CompanyBroker
State Registrations18 states
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