Roy Cook is a registered investment advisor at LPL Financial LLC, based in Warrenville, IL, with 20 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
4320 Winfield Road Suite 450, Warrenville, IL, 60555
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Regulatory History (1)
Customer Dispute
September 2011Other 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 LLCBroker
LPL Financial LLC
Previous Registrations
Cetera Investment Advisers LLC
Cetera Financial Specialists LLCBroker
Sage Private Wealth Group, LLC
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Bkd Wealth Advisors, LLC
Wolf Financial Management, LLC
Wolf Financial Management, LLCBroker
Wolf Financial Management, LLC
Oak Brook Strategic Investment Advisors LLC
Baker Tilly Capital, LLCBroker
Baker Tilly Investment Advisors
State Registrations13 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.