David Rich is a registered investment advisor at LPL Financial LLC, based in Fort Mill, SC, 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
1055 Lpl Way, Fort Mill, SC, 29715
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
David provides investment advisory services through Gladstone Institutional Advisory, spending about half his time on this. He also provides financial planning and consulting services through Financial Resources Group Investment Services, dedicating about a quarter of his time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Financial Resources Group Investment Services
LPL Financial LLC
Gladstone Wealth Partners
Financial Resources Group Investment Services, LLCBroker
LPL Financial LLC
National Securities CorporationBroker
National Asset Management, INC.
Vfinance Advisors, INC.
Vfinance Investments, INCBroker
New York Global Securities, INC.Broker
Vfinance Investments, INCBroker
Vfinance InvestmentsBroker
State Registrations52 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.