Roger Pugh is a registered investment advisor at LPL Financial LLC, based in Ephrata, WA, 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
925 Basin St. Sw, Ephrata, WA, 98823
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Regulatory History (2)
Customer Dispute
September 2012Criminal
October 1987Other Business Activities
Roger is involved in several business activities, including real estate rental through Waypoint Equities, LLC and Mission Tower LLC, and operating Waypoint Wealth Management, LLC as a DBA for his LPL business. He also acts as co-trustee for the Kelly Pugh Trust and owns Roger A Pugh Photography, spending a few hours per week on photography.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Edward JonesBroker
State Registrations42 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.