Dennis Rose
Dennis Rose is a registered investment advisor at LPL Financial LLC, based in Sherman Oaks, CA, with 34 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
15490 Ventura Blvd., Suite 220, Sherman Oaks, CA, 91403
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Dennis sells non-variable insurance (whole life and term insurance) since 2005. He is also involved in tax preparation/accounting through multiple entities, including Rose, Figueroa & Associate where he spends about half his time as a CPA.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
H.D. Vest Investment ServicesBroker
Pml Securities CompanyBroker
Royal Alliance Associates, INC.Broker
Vanguard CapitalBroker
Mutual Benefit Financial Service CompanyBroker
State Registrations17 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.