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Roger Ciriello

LPL Financial LLC
26 Years of Experience
Shelton, CT
4 DisclosuresBroker
View SEC Summary
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Roger Ciriello is a registered investment advisor at LPL Financial LLC, based in Shelton, CT, with 26 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

1077 Bridgeport Ave Ste 301, Shelton, CT, 06484

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History

Regulatory History (4)
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.
Financial
March 2025
Final
Financial
May 2022
Final
Financial
April 2021
Final
Judgment / Lien
May 2017
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Roger operates under the DBA All Seasons Advisors for his LPL business. This investment-related activity takes up a full-time commitment.

Employment History
Current Registrations
LPL Financial LLC
May 2025 - Present · 1 yr 5 mos
LPL Financial LLCBroker
April 2025 - Present · 1 yr 6 mos
Previous Registrations
Pacific Select Distributors, LLCBroker
February 2023 - March 2025 · 2 yrs 1 mo
Primerica Advisors
July 2022 - February 2023 · 7 mos
PFS Investments INC.Broker
January 2022 - February 2023 · 1 yr 1 mo
PFS Investments INC.Broker
October 2021 - December 2021 · 2 mos
Brookstone Capital Management LLC
December 2019 - December 2020 · 1 yr
Ast Investment Services, INC.
November 2011 - November 2019 · 8 yrs
Prudential Annuities Distributors, INCBroker
November 2011 - November 2019 · 8 yrs
Chase Investment Services CORP.
December 2009 - November 2011 · 1 yr 11 mos
Chase Investment Services CORP.Broker
October 2006 - November 2011 · 5 yrs 1 mo
Electronic Trading Group, LLCBroker
October 2001 - June 2002 · 8 mos
Electronic Trading Group, LLCBroker
March 2001 - October 2001 · 7 mos
Ironhorse Securities INC.Broker
July 2000 - August 2000 · 1 mo
On-Site Trading, INC.Broker
February 1996 - July 2000 · 4 yrs 5 mos
Castle Securities CORP.Broker
June 1994 - February 1996 · 1 yr 8 mos
Island Securities, INC.Broker
December 1993 - June 1994 · 6 mos
State Registrations1 state
CT
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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