Robert Baptist
Robert Baptist is a registered investment advisor at LPL Financial LLC, based in Norwalk, CT, with 37 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
11 Belden Avenue, Norwalk, CT, 06850
Get directionsHistory
Regulatory History (6)
Customer Dispute
June 2022Regulatory
August 1996Employment Separation After Allegations
August 1995Customer Dispute
January 1995Customer Dispute
December 1990Criminal
September 1985Other Business Activities
Robert is an advisor with Wilmington Advisors at M&T, a DBA for his LPL business, since 2022. This activity takes nearly full-time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
People's United Advisors, INC.
People's Securities, INC.
People's Securities, INC.Broker
Smith Barney INC.Broker
Lehman Brothers INC.Broker
Smith Barney, Harris Upham & CO., IncorporatedBroker
Drexel Burnham Lambert IncorporatedBroker
State Registrations20 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.