Linda Roman is a registered investment advisor at LPL Financial LLC, based in Westport, CT, 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
Westport, CT
Get directionsHistory
Regulatory History (2)
Employment Separation After Allegations
July 2002Regulatory
January 1989Other Business Activities
Linda is the President and Business Owner of Cat Rescue Inc, a non-investment related, home-based business, since 2003. She dedicates minimal time to this activity.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
UBS Painewebber INC.Broker
Bear, Stearns & CO. INC.Broker
Shearson Lehman Hutton INC.Broker
Randolph Brown Securities CorporationBroker
Brooks Weinger Robbins & Leeds INC.Broker
State Registrations27 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.