Ralph Slocum is a registered investment advisor at LPL Financial LLC, based in San Luis Obispo, CA, with 38 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
1410 Marsh Street, Suite 1, San Luis Obispo, CA, 93401
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Ralph operates Slocum Wealth Management as a DBA for his LPL business. This takes Ralph full-time hours per month, with minimal time during securities trading hours.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
RBC Capital Markets Corporation
RBC Capital Markets CorporationBroker
UBS Financial Services INC.Broker
UBS Financial Services INC.
Morgan Stanley
Morgan Stanley Dw INC.Broker
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.