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Roger Chang

LPL Financial LLC
34 Years of Experience
Fullerton, CA
2 DisclosuresBrokerSells Insurance
View SEC Summary
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Roger Chang is a registered investment advisor at LPL Financial LLC, based in Fullerton, CA, with 34 years of industry experience. Roger 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

1507 E. Chapman Ave., Fullerton, CA, 92831

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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.
Customer Dispute
February 2013
Closed-No Action
Customer Dispute
February 2003
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Roger is associated with IMCG, Inc., doing business as Managed Consulting Group, Inc., which is an entity for his LPL business, dedicating full-time hours to it. He also works with IMCG, Inc. selling non-variable insurance products, which takes about a quarter of his time.

Employment History
Current Registrations
LPL Financial LLC
September 2022 - Present · 4 yrs 1 mo
LPL Financial LLCBroker
September 2022 - Present · 4 yrs 1 mo
Previous Registrations
Securities America Advisors, INC.
December 2013 - October 2022 · 8 yrs 10 mos
Securities America, INC.Broker
December 2013 - October 2022 · 8 yrs 10 mos
Ing Financial Partners, INC
January 2008 - December 2013 · 5 yrs 11 mos
Ing Financial Partners, INC.Broker
December 2007 - December 2013 · 6 yrs
Wise Steward Advisory Services, INC.
February 2007 - May 2008 · 1 yr 3 mos
Wise Steward Advisory Services, INC.
September 2005 - December 2006 · 1 yr 3 mos
Royal Alliance Associates, INC.
April 2005 - December 2007 · 2 yrs 8 mos
Royal Alliance Associates, INC.Broker
March 2005 - December 2007 · 2 yrs 9 mos
National Planning Corporation ("npc of America" in Fl & Ny)
July 1998 - February 2005 · 6 yrs 7 mos
National Planning CorporationBroker
July 1998 - February 2005 · 6 yrs 7 mos
Financial Network Investment CorporationBroker
August 1996 - July 1998 · 1 yr 11 mos
Sunamerica Securities, INC.Broker
April 1992 - July 1996 · 4 yrs 3 mos
Titan/value Equities Group, INC.Broker
October 1991 - April 1992 · 6 mos
State Registrations9 states
AZCACOFLNJNVOHORWA
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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