Charles Larocco
Charles Larocco is a registered investment advisor at LPL Financial LLC, based in Penfield, NY, 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
441 Penbrooke Dr Suite 5, Penfield, NY, 14526
Get directionsHistory
Regulatory History (5)
Customer Dispute
October 2004Customer Dispute
June 2004Customer Dispute
March 2003Regulatory
October 1988Criminal
July 1987Other Business ActivitiesSells Insurance
Charles is an insurance agent selling life, accident, and annuity products, dedicating about 10-20% of his time to this activity. He also hosts "The Money Doctors" radio show, owns rental properties, is a trustee for a testamentary trust, and is the majority owner of The Money Docs S Corp, spending nearly full-time hours on this S corp.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Cadaret Grant & CO INC
Cadaret, Grant & CO., INC.Broker
Mcdonald Investments INC.Broker
Key Investments INC.Broker
M&t Securities, INC.Broker
Liberty Securities CorporationBroker
Pmg Securities CorporationBroker
Mony Securities CORP.Broker
The Mutual Life Insurance Company of New YorkBroker
Ids Life Insurance CompanyBroker
American Express Financial Advisors INC.Broker
Princeton Financial Group, INC.Broker
Power Securities CorporationBroker
State Registrations22 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.