Howard Raff
Howard Raff is a registered investment advisor at LPL Financial LLC, based in Altadena, CA, 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
Altadena, CA
Get directionsHistory
Regulatory History (3)
Customer Dispute
December 2023Judgment / Lien
April 2019Judgment / Lien
August 2016Other Business ActivitiesSells Insurance
Howard is involved with BGA Premier Insurance Solutions, Inc. selling non-variable insurance products since 2015. This requires minimal time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Grove Point Advisors, LLC
Grove Point Investments, LLCBroker
H. Beck, INC.
Dsi Advisers, INC.
Diversified Securities, IncorporatedBroker
UBS Painewebber INC.Broker
State Registrations17 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.