David Koch is a registered investment advisor at LPL Financial LLC, based in Mchenry, IL, 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
5206 W Elm St Ste 100, Mchenry, IL, 60050
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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David operates Upstream Investment Partners as a DBA for his LPL business. He is also a co-owner of PineRidge Acres LLC, a business entity for tax/investment purposes only, dedicating minimal time to it.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Spc
Sigma Financial CorporationBroker
Robert W. Baird & CO. IncorporatedBroker
Robert W. Baird & CO. Incorporated
Ameriprise Advisor Services, INC.
H&r Block Financial Advisors, INC.Broker
Edward JonesBroker
State Registrations16 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.