Richard Steigerwald
Richard Steigerwald is a CFP-designated registered investment advisor at LPL Financial LLC, based in Greenwood Village, CO, 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
8101 E Prentice Ave Ste 775, Greenwood Village, CO, 80111
Get directionsHistory
Regulatory History (3)
Customer Dispute
March 2010Customer Dispute
October 2007Customer Dispute
February 2004Other Business ActivitiesSells Insurance
Richard operates Upstream Investment Partners as a DBA for his LPL business. He also works with Tucker Advisory Services, offering non-variable insurance products, dedicating a few hours per week to this activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Spc
Sigma Financial CorporationBroker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Ameriprise Financial Services, INC.
AXA Advisors, LLC
AXA Advisors, LLCBroker
The Equitable Life Assurance Society of the United StatesBroker
State Registrations21 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.