Rose Cook is a registered investment advisor at LPL Financial LLC, based in The Woodlands, TX, with 26 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
9595 Six Pines Dr Ste 6330, The Woodlands, TX, 77380
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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.
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Rose operates under two DBAs for her LPL business: Woodlands Wealth Builders (since 2013, taking nearly all of her time) and Sovereign Financial Services (since 2019, taking a full-time commitment). She also works as a notary, notarizing LPL client documentation for about an hour per month.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Morgan StanleyBroker
Morgan Stanley
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Dean Witter Reynolds INC.Broker
State Registrations1 state
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.