Sandra Rose is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Westport, CT, with 26 years of industry experience. Sandra 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
55 Post Rd W 2nd Flr, Westport, CT, 06880
Get directionsHistory
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 Activities
Sandra is a real estate agent with NorthEast Referral Group since 2008, but spends no time on it. She also operates under two DBAs for her LPL business: Prosperous Planning, taking about a quarter of Sandra's time, and Sikorsky Wealth Management, taking about a third of her time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
LPL Financial LLC
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Aspire Advisors, LLC
Hamilton Cavanaugh & Associates, INC.Broker
Tiaa-Cref Individual & Institutional Services, LLCBroker
Tiaa-Cref Advice and Planning Services
Strategic Advisers, INC.
Fidelity Brokerage Services LLCBroker
David J. Greene and Company, LLCBroker
Babson Securities CorporationBroker
Fidelity Distributors CorporationBroker
State Registrations11 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
More Advisors
- Linda RomanLPL Financial LLC
- Miklos GudriczaLPL Financial LLC
- Jordan KernerLPL Financial LLC
- Victor Pena, CFPMorgan Stanley
- Uliana Michaelis, CFPWealthspire Advisors
- Matthew Garnett, CFPRaymond James & Associates, INC.