Rowena Ruff
Rowena Ruff is a registered investment advisor at LPL Financial LLC, based in Lexington, KY, with 28 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
195 Kentucky Ave., Lexington, KY, 40502
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Regulatory History (1)
Customer Dispute
February 2024Other Business ActivitiesSells Insurance
Rowena is involved in several business activities, including a business entity for tax purposes, providing investment advisory services through Independent Advisor Alliance, and operating Ashwood Wealth Management, Inc. She also works as an agent for Nationwide Insurance, selling non-variable insurance products, dedicating minimal time to this.
Employment History
Current Registrations
LPL Financial LLC
Independent Advisor Alliance, LLC
LPL Financial LLCBroker
Previous Registrations
Independent Financial Partners
LPL Financial LLC
Uvest Financial Services Group, INC.
Uvest Financial Services Group, INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations16 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.