Gaylord Rohloff
Gaylord Rohloff is a CFP-designated registered investment advisor at LPL Financial LLC, based in Westlake Village, CA, 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
2555 Townsgate Rd Ste 300, Ste. 300, Westlake Village, CA, 91361
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Regulatory History (10)
Customer Dispute
July 2024Customer Dispute
May 2024Customer Dispute
May 2024Customer Dispute
April 2024Customer Dispute
March 2023Customer Dispute
September 2022Employment Separation After Allegations
May 2008Customer Dispute
May 2002Customer Dispute
February 2002Regulatory
October 1997Other Business ActivitiesSells Insurance
Gaylord is an agent for accident & health, life, and variable insurance, which is investment-related. He also works as a commercial actor, which is not investment-related.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Western International Securities
Western International Securities, INC.Broker
Financial West Group
Financial West GroupBroker
MML Investors Services, INC.Broker
MML Investors Services, INC.Broker
Pruco Securities CorporationBroker
The Prudential Insurance Company of AmericaBroker
State Registrations11 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.