Roy Woehrman
Roy Woehrman is a registered investment advisor at LPL Financial LLC, based in Oceanside, CA, with 31 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
Oceanside, CA
Get directionsHistory
Regulatory History (2)
Regulatory
July 2017Customer Dispute
October 2003Other Business Activities
Roy co-owns rental real estate property, dedicating minimal time to it. He also operates Legacy Retirement Planning Inc. as a DBA for his LPL business and acts in a fiduciary capacity for another entity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations13 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.