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Ricky Ferrara

LPL Financial LLC
32 Years of Experience
Baton Rouge, LA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Ricky Ferrara is a registered investment advisor at LPL Financial LLC, based in Baton Rouge, LA, with 32 years of industry experience. Ricky 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

4611 Bluebonnet Blvd, Ste A, Baton Rouge, LA, 70809

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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
September 2021
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Ricky operates Ferrara Financial, LLC, Lee, Dougherty & Ferrara Investment Management, and LDFwealth Financial Group as DBAs for his LPL business. He also engages in real estate rental activities and sells non-variable insurance through LDF Insurance Agency, LLC, dedicating minimal time to each.

Employment History
Current Registrations
LPL Financial LLC
February 2004 - Present · 22 yrs 8 mos
LPL Financial LLCBroker
September 2003 - Present · 23 yrs 1 mo
Previous Registrations
Edward JonesBroker
April 1999 - September 2003 · 4 yrs 5 mos
Intersecurities, INC.Broker
June 1994 - February 1999 · 4 yrs 8 mos
State Registrations10 states
ALARFLGALAMSNCSCTXVA
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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