Raymond Bergen
Raymond Bergen is a CFP-designated registered investment advisor at LPL Financial LLC, based in Jericho, NY, with 33 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
500 North Broadway, Suites 260 & 242, Jericho, NY, 11753
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Regulatory History (1)
Criminal
December 1969Other Business ActivitiesSells Insurance
Raymond prepares income taxes and has done so since 1995, dedicating a few hours per week. He is also an insurance agent selling fixed annuities, life/health, and travel/credit insurance since 2001, spending minimal time on this activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cadaret Grant & CO INC
Cadaret, Grant & CO., INC.Broker
Securities America Advisors, INC.
Securities America, INC.Broker
Prime Capital Services, INC.Broker
Royal Alliance Associates, INC.Broker
Marketing One Securities, INC.Broker
Cadaret, Grant & CO., INC.Broker
State Registrations10 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.