Richard Plum is a CFP-designated registered investment advisor at LPL Financial LLC, based in San Diego, CA, with 37 years of industry experience. Richard 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
16789 Bernardo Center Dr, San Diego, CA, 92128
Get directionsHistory
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.
Exams
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