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Roger Houston

LPL Financial LLC
34 Years of Experience
Southfield, MI
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Roger Houston is a CFP-designated registered investment advisor at LPL Financial LLC, based in Southfield, MI, with 34 years of industry experience. Roger 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

28411 Northwestern Hwy #1200, Southfield, MI, 48034

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2005
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Roger operates under several DBAs, including R. J. Houston, CFP & Associates and RogerHouston (website). He also sells fixed annuities, health, disability, and long-term care insurance.

Employment History
Current Registrations
LPL Financial LLC
May 2010 - Present · 16 yrs 5 mos
LPL Financial LLCBroker
November 2003 - Present · 22 yrs 11 mos
Previous Registrations
Veravest Investments, INC.Broker
December 1998 - November 2003 · 4 yrs 11 mos
Forth Financial Securities, CorporationBroker
February 1990 - January 1991 · 11 mos
Forth Financial Securities, CorporationBroker
July 1984 - January 1990 · 5 yrs 6 mos
State Registrations19 states
ALAZCAFLGAILINMDMINCNMOHPASCTNTXUTVAWI
AdvisorBrokerBoth

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
No exam information available for this advisor.
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