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Roy Cook

LPL Financial LLC
20 Years of Experience
Warrenville, IL
1 DisclosureBroker
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Roy Cook is a registered investment advisor at LPL Financial LLC, based in Warrenville, IL, with 20 years of industry experience. Roy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

4320 Winfield Road Suite 450, Warrenville, IL, 60555

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2011
Withdrawn
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Roy operates Dugan & Lopatka Wealth Management, LLC as a DBA for his LPL business. This activity is investment-related and takes nearly full-time.

Employment History
Current Registrations
LPL Financial LLC
September 2023 - Present · 3 yrs 1 mo
LPL Financial LLCBroker
September 2023 - Present · 3 yrs 1 mo
Previous Registrations
Cetera Investment Advisers LLC
May 2018 - September 2023 · 5 yrs 4 mos
Cetera Financial Specialists LLCBroker
May 2018 - September 2023 · 5 yrs 4 mos
Sage Private Wealth Group, LLC
April 2015 - May 2018 · 3 yrs 1 mo
Raymond James Financial Services Advisors, INC
April 2015 - May 2018 · 3 yrs 1 mo
Raymond James Financial Services, INC.Broker
March 2015 - May 2018 · 3 yrs 2 mos
Bkd Wealth Advisors, LLC
November 2014 - April 2015 · 5 mos
Wolf Financial Management, LLC
July 2010 - December 2014 · 4 yrs 5 mos
Wolf Financial Management, LLCBroker
July 2010 - May 2014 · 3 yrs 10 mos
Wolf Financial Management, LLC
July 2010 - April 2015 · 4 yrs 9 mos
Oak Brook Strategic Investment Advisors LLC
September 2009 - December 2010 · 1 yr 3 mos
Baker Tilly Capital, LLCBroker
May 2006 - September 2009 · 3 yrs 4 mos
Baker Tilly Investment Advisors
January 2006 - September 2009 · 3 yrs 8 mos
State Registrations13 states
AZCAFLIDILINMIOHORTXUTWAWI
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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