Richard Pombo
Richard Pombo is a registered investment advisor at LPL Financial LLC, based in Albany, 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
6 Automation Lane, Suite 108, Albany, NY, 12205
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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
Richard is a sales agent for NY Long Term Care BKRS selling fixed insurance products, an authorized agent presenting CDPHP Medicare Advantage Health Insurance, and the owner of Pombo Ins Services. He also is a member of Pombo Family Holdings Co, LLC, a holding company of family real estate.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cadaret Grant & CO INC
Cadaret, Grant & CO., INC.Broker
Invest Financial CorporationBroker
Royal Alliance Associates, INC.Broker
MML Investors Services, INC.Broker
State Registrations32 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.