Sergio Rosa
Sergio Rosa is a registered investment advisor at LPL Financial LLC, based in Rockville Centre, NY, with 25 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
Rockville Centre, NY
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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
Sergio operates Rosa Financial as a DBA for his LPL business, dedicating full-time hours to it. He is also an agent for Colonial Life, selling non-variable insurance, but spends minimal time on this activity.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Morgan StanleyBroker
Morgan Stanley
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Olympia Asset Management,ltd.Broker
Olympia Asset Management,ltd.Broker
Invest Financial CorporationBroker
21st Century Financial Services, INC.Broker
Allstate Financial Services, LLCBroker
Hrc Investment Services, INC.Broker
Murjen Financial, INC.Broker
Jwgenesis Financial Services, INC.Broker
State Registrations12 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.