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ChFC
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ChFC

Gene Larock

LPL Financial LLC
36 Years of Experience
Eau Claire, WI
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Gene Larock is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Eau Claire, WI, with 36 years of industry experience. Gene 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

4410 Golf Terrace Suite #101, Eau Claire, WI, 54701

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
February 2010
Final
Regulatory
November 1998
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Gene may earn commissions from insurance companies for sales of non-variable life, health, annuity, and/or disability income insurance products. Gene also serves on the board of directors for REACH Foundation and WisPACT, dedicating minimal time to each.

Employment History
Current Registrations
LPL Financial LLCBroker
June 2025 - Present · 1 yr 4 mos
LPL Financial LLC
June 2025 - Present · 1 yr 4 mos
LPL Financial LLC
June 2025 - Present · 1 yr 4 mos
Previous Registrations
Northwestern Mutual Investment Services,llc
February 2009 - June 2025 · 16 yrs 4 mos
Robert W. Baird & CO. IncorporatedBroker
April 1998 - January 2002 · 3 yrs 9 mos
Northwestern Mutual Investment Services, LLCBroker
October 1996 - June 2025 · 28 yrs 8 mos
Robert W. Baird & CO. IncorporatedBroker
October 1996 - March 1997 · 5 mos
Franklin Financial Services CorporationBroker
September 1990 - September 1996 · 6 yrs
Mutual of Omaha Fund Management CompanyBroker
June 1990 - August 1990 · 2 mos
State Registrations20 states
AZCOFLGAILKSMDMIMNNMNVNYOHORPATNTXVAWAWI
AdvisorBrokerBoth

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
No exam information available for this advisor.
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