David Ricci is a registered investment advisor at LPL Financial LLC, based in Ware, MA, with 33 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
350 Palmer Rd Suite 100, Ware, MA, 01082
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
David operates under the DBA Westfield Investment Services for his LPL business since 2019. This activity is investment-related.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Santander Securities
Santander Securities LLCBroker
LPL Financial LLCBroker
LPL Financial LLC
Cuso Financial Services, L.P.
Cuso Financial Services, L.P.Broker
CUNA Brokerage Services, INC.
CUNA Brokerage Services, INC.Broker
Naples Ais, INC.Broker
Adviser Dealer Services, INC.Broker
Foreside Distribution Services, L.P.Broker
Mercantile Brokerage Services, INC.Broker
Mercantile Investment Services, INC.Broker
Mercantile Capital Advisors, INC.
Mercantile Securities, INC.Broker
Rydex Distributors, INC.Broker
Ing Funds Distributor, INC.Broker
Banc One Securities CorporationBroker
440 Financial Distributors, INC.Broker
Mackenzie Investment Management 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.