Richard Rodak
Richard Rodak is a registered investment advisor at LPL Financial LLC, based in Westminster, CO, 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
Westminster, CO
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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.