Scott Rose is a registered investment advisor at LPL Financial LLC, based in New York City, NY, with 26 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
14 Wall Street,20th Fl Ofc2020, New York City, NY, 10005
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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.
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Scott is a member of the advisory board for Tikva Children's Home, a charity, providing overall guidance. He dedicates minimal time to this activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
J.P. Morgan Securities LLCBroker
UBS Financial Services INC.Broker
Citigroup Global Markets INC.Broker
Tucker Anthony IncorporatedBroker
Gibraltar Securities CO.Broker
State Registrations18 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.