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Todd Rosen

LPL Financial LLC
21 Years of Experience
Glastonbury, CT
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Todd Rosen is a registered investment advisor at LPL Financial LLC, based in Glastonbury, CT, with 21 years of industry experience. Todd 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

180 Glastonbury Blvd, Glastonbury, CT, 06033

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2022
Denied
Customer Dispute
September 2013
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Todd operates under the DBA May, Bonee & Clark Financial Services for his LPL business. He is also involved in non-variable insurance through Todd Rosen, Sole Proprietor, and Risk Strategies Corporation, spending minimal time on the latter.

Employment History
Current Registrations
LPL Financial LLCBroker
August 2022 - Present · 4 yrs 2 mos
LPL Financial LLC
August 2022 - Present · 4 yrs 2 mos
LPL Financial LLC
August 2022 - Present · 4 yrs 2 mos
Previous Registrations
Voya Financial Advisors, INC.
December 2010 - August 2022 · 11 yrs 8 mos
Voya Financial Advisors, INC.Broker
December 2010 - August 2022 · 11 yrs 8 mos
Ing Financial Advisers, LLC
June 2007 - December 2010 · 3 yrs 6 mos
Ing Financial Advisers, LLCBroker
June 2007 - December 2010 · 3 yrs 6 mos
Metlife Securities INC.
August 2006 - June 2007 · 10 mos
Metlife Securities INC.Broker
December 2005 - June 2007 · 1 yr 6 mos
Metropolitan Life Insurance CompanyBroker
December 2005 - June 2007 · 1 yr 6 mos
Citistreet Financial Services LLC
July 2005 - December 2005 · 5 mos
Citistreet Equities LLCBroker
June 2005 - December 2005 · 6 mos
State Registrations26 states
ALAZCACOCTFLGAINLAMAMDMTNHNJNMNVNYOHORPASCTXUTVAWAWY
AdvisorBrokerBoth

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
No exam information available for this advisor.
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