Richard Case
Richard Case is a registered investment advisor at LPL Financial LLC, based in Westlake Village, CA, 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
2555 Townsgate Rd Ste 300, Ste. 300, Westlake Village, CA, 91361
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Regulatory History (1)
Customer Dispute
March 2024Other Business ActivitiesSells Insurance
Richard is an agent for accident & health, life, and variable insurance, which is investment-related. He also uses Tarian Investment Services, Inc. as an S Corporation for tax purposes.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Western International Securities
Western International Securities, INC.Broker
Crowell, Weedon & CO.
Crowell, Weedon & CO.Broker
Seidler Investment Advisors Incorporated
The Seidler Companies IncorporatedBroker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Bateman Eichler, Hill Richards, IncorporatedBroker
Legg Mason Wood Walker, IncorporatedBroker
State Registrations29 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.