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Robert Baptist

LPL Financial LLC
38 Years of Experience
Norwalk, CT
7 DisclosuresBroker
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Robert Baptist is a registered investment advisor at LPL Financial LLC, based in Norwalk, CT, with 38 years of industry experience. Robert 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

11 Belden Avenue, Norwalk, CT, 06850

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History

Regulatory History (7)
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
May 2026
Denied
Customer Dispute
June 2022
Settled
Regulatory
August 1996
Final
Employment Separation After Allegations
August 1995
Customer Dispute
January 1995
Settled
Customer Dispute
December 1990
Settled
Criminal
September 1985
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other 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
August 2022 - Present · 4 yrs 2 mos
LPL Financial LLC
August 2022 - Present · 4 yrs 2 mos
LPL Financial LLCBroker
August 2022 - Present · 4 yrs 2 mos
Previous Registrations
People's United Advisors, INC.
May 2018 - August 2022 · 4 yrs 3 mos
People's Securities, INC.
January 2002 - March 2020 · 18 yrs 2 mos
People's Securities, INC.Broker
March 1996 - August 2022 · 26 yrs 5 mos
Smith Barney INC.Broker
July 1993 - August 1995 · 2 yrs 1 mo
Lehman Brothers INC.Broker
November 1992 - July 1993 · 8 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
May 1989 - November 1992 · 3 yrs 6 mos
Drexel Burnham Lambert IncorporatedBroker
September 1987 - May 1989 · 1 yr 8 mos
State Registrations20 states
AKCACOCTDEFLGAILMDMNNCNHNJNMNYOHSCVTWAWY
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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