Dennis Haubert is a CFP-designated registered investment advisor at LPL Financial LLC, based in Denver, CO, with 24 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
6000 E Evans Ave Ste 2-200, Denver, CO, 80222
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Dennis operates his LPL business under the DBA Upstream Investment Partners. He also has outside W-2 employment at The Job Store/Jefferson County, dedicating about 10-20% of his time to this role.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Spc
Sigma Financial CorporationBroker
Edward JonesBroker
Edward Jones
Transamerica Investors Securities CorporationBroker
Transamerica Retirement Advisors, LLC
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Cetera Investment Advisers LLC
Cetera Investment Services LLCBroker
Cetera Investment Services LLC
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Morgan Stanley Smith BarneyBroker
Morgan Stanley Smith Barney LLC
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations6 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.