Richard Rose
Richard Rose is a registered investment advisor at LPL Financial LLC, based in Finleyville, PA, with 51 years of industry experience. Richard 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
6116 Brownsville Rd Exit, Ste 103, Finleyville, PA, 15332
Get directionsHistory
Regulatory History (3)
Employment Separation After Allegations
February 2000Customer Dispute
September 1999Criminal
September 1999Other Business Activities
Richard is involved in tax preparation and accounting, dedicating a few hours per week to these activities. He also operates Rose Financial Group as a DBA for his LPL business, committing full-time hours.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Triad Advisors LLCBroker
Triad Advisors, LLC
Tower Square Securities, INC.
Tower Square Securities, INC.Broker
Advantage Capital CorporationBroker
Waddell & Reed, INC.Broker
State Registrations1 state
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
More Advisors
- Kevin Rose, CFPLPL Financial LLC