David Richey is a CFP, ChFC-designated registered investment advisor at LPL Financial LLC, based in Boulder, CO, with 39 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
2505 Walnut St. 2nd Floor, Boulder, CO, 80302
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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.
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David operates his LPL business through New West Advisors and is also associated with Western Wealth Management LLC as a Registered Investment Advisor. He also has David E. Richey, Inc. for tax/investment purposes, dedicating full-time hours to securities trading.
Employment History
Current Registrations
LPL Financial LLC
Western Wealth Management LLC
LPL Financial LLCBroker
Previous Registrations
CUNA Brokerage Services, INC.
CUNA Brokerage Services, INC.Broker
PNC Brokerage CORPBroker
Gna Securities, INC.Broker
Ifg Network Securities, INC.Broker
Anchor National Financial Services, INC.Broker
First American National Securities, INC.Broker
State Registrations7 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.