Rickie Walters
Rickie Walters is a registered investment advisor at LPL Financial LLC, based in Beverly, OH, 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
525 5th St, Beverly, OH, 45715
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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 ActivitiesSells Insurance
Rickie operates River Cities Financial Services as a DBA for his LPL business and owns Coal Run Sportsman LLC for tax/investment purposes. He also owns DFW Realty, a real estate rental business, and Dietz, Futrell & Walters Insurance, an insurance agency selling various insurance products; the latter takes nearly full-time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cetera Advisors LLC
Cetera Advisors LLCBroker
Vestax Securities CorporationBroker
State Registrations1 state
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.