Richard Fineberg
Richard Fineberg is a registered investment advisor at LPL Financial LLC, based in Williamsville, NY, 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
19 Limestone Dr Ste 5, Williamsville, NY, 14221-7091
Get directionsHistory
Regulatory History (4)
Financial
March 2021Financial
January 2021Financial
January 2021Customer Dispute
November 2017Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
LPL Financial LLC
Citizens Securities, INC.
Citizens Securities, INC.
Citizens Securities, INC.Broker
M&t Securities, INC.
M&t Securities, INC.Broker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
Delta Equity Services CorporationBroker
Saperston Asset Management, INC.Broker
First Allied Securities, INC.Broker
Josephthal & CO., INC.Broker
State Registrations4 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.