Joseph Roberts
Joseph Roberts is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Richmond, KY, 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
527 W. Main Street, Richmond, KY, 40475
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Joseph is involved with Roberts Insurance and Investments, R.J. Roberts Inc, and Roberts Insurance, focusing on non-variable insurance and acting as a DBA for LPL business. These activities take about half of Joseph's time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Mutual Service CorporationBroker
American General Securities IncorporatedBroker
State Registrations27 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.