Richard Rodak
Richard Rodak is a registered investment advisor at LPL Financial LLC, based in Westminster, CO, with 43 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
Westminster, CO
Get directionsHistory
Regulatory History (1)
Customer Dispute
May 2023Other Business Activities
Richard operates Upstream Investment Partners as a DBA for his LPL business. He also owns Rodak Rentals LLC, a real estate rental business, dedicating minimal time to it.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Spc
Sigma Financial CorporationBroker
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Wells Fargo Advisors, LLCBroker
A. G. Edwards & Sons, INC.Broker
Janney Montgomery Scott INC.Broker
Richards, Lynch & Pegher, INC.Broker
State Registrations15 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.
Exams
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