Roger Clarkson
Roger Clarkson is a CFP-designated registered investment advisor at LPL Financial LLC, based in Norwich, NY, with 29 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
Norwich, NY
Get directionsHistory
Regulatory History (1)
Judgment / Lien
November 2017Other Business ActivitiesSells Insurance
Roger operates Empire Financial Advisors, Inc. and Legacy Wealth Group as DBAs for his LPL business. He is also an agent for Red Oak Financial Management, LLC, selling fixed annuities, long-term care, disability, medicare supplements, and whole life insurance, dedicating minimal time to this.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Sagepoint Financial, INC.Broker
LPL Financial LLC
LPL Financial LLCBroker
Commonwealth Financial NetworkBroker
Linsco/private Ledger CORP.Broker
Bisys Brokerage Services, INC.Broker
Corelink Financial, INC.Broker
PNC Brokerage CORPBroker
Prudential Securities IncorporatedBroker
State Registrations3 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.