Richard Case
Richard Case is a registered investment advisor at LPL Financial LLC, based in Westlake Village, CA, with 42 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
2555 Townsgate Rd Ste 300, Westlake Village, CA, 91361
Get directionsHistory
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 LLC
LPL Financial LLCBroker
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 Registrations30 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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