Howard Raff
Howard Raff is a registered investment advisor at LPL Financial LLC, based in Altadena, CA, with 25 years of industry experience. Howard 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
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 Registrations19 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.
Exams
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