Richard Plum is a CFP-designated registered investment advisor at LPL Financial LLC, based in San Diego, CA, with 36 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
16789 Bernardo Center Dr, San Diego, CA, 92128
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Regulatory History (1)
Customer Dispute
January 2017Other Business Activities
Richard is associated with Lucia Capital Group, doing business as an LPL entity, for his LPL business. This investment-related activity takes up all of Richard's time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Lucia Securities, LLCBroker
Lucia Capital Group
First Allied Securities, INC.Broker
Rjl Financial Network, L.L.C.
Securities America, INC.Broker
The Advisors Group, INC.
Raymond J. Lucia Companies, INC.
The Advisors Group, INC.Broker
John Hancock Distributors, INC.Broker
John Hancock Mutual Life Insurance CompanyBroker
New England SecuritiesBroker
State Registrations51 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.