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Randal Worden

LPL Financial LLC
34 Years of Experience
Liverpool, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
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Randal Worden is a registered investment advisor at LPL Financial LLC, based in Liverpool, NY, with 34 years of industry experience. Randal 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
28129 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

7421 Oswego Road, Liverpool, NY, 13090

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History

Regulatory History (1)
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
June 2012
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Randal sells life, accident, and health insurance through various companies since 2007. This activity represents about 10% of his business.

Employment History
Current Registrations
LPL Financial LLC
July 2025 - Present · 1 yr 3 mos
LPL Financial LLCBroker
July 2025 - Present · 1 yr 3 mos
Previous Registrations
Cadaret Grant & CO INC
May 2021 - July 2025 · 4 yrs 2 mos
Cadaret, Grant & CO., INC.Broker
April 2003 - July 2025 · 22 yrs 3 mos
AXA Advisors, LLCBroker
August 1992 - May 2003 · 10 yrs 9 mos
The Equitable Life Assurance Society of the United StatesBroker
August 1992 - January 2000 · 7 yrs 5 mos
State Registrations2 states
FLNY
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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