Richard Flood
Richard Flood is a registered investment advisor at LPL Financial LLC, based in South Burlington, VT, with 56 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
1233 Shelburne Rd #E3, South Burlington, VT, 05403
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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
Richard operates Flood Financial Services as a DBA for his LPL business and owns Soaring Hawk, LLC, a real estate rental company that leases property to Flood Financial Services. He also engages in non-variable insurance sales through Flood Financial Services, dedicating minimal time to this activity, and is a notary.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Lincoln Financial Securities Corporation
Flood Financial Services, INC.
Lincoln Financial Securities CorporationBroker
Provident National Equities, INC.Broker
The Mutual Life Insurance Company of New YorkBroker
Mony Sales, INC.Broker
Pla Securities CorporationBroker
Cg Equity Sales CompanyBroker
State Registrations30 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.