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Roston Willis

LPL Financial LLC
8 Years of Experience
Riverside, CA
2 DisclosuresBroker
View SEC Summary
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Roston Willis is a registered investment advisor at LPL Financial LLC, based in Riverside, CA, with 8 years of industry experience. Roston 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

3610 Central Ave Ste 400, Riverside, CA, 92506

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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.
Financial
May 2021
Final
Judgment / Lien
April 2015
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Roston is a professor of finance at California Baptist University, dedicating about a quarter of his time. He also uses Willis Wealth Management, LLC as a DBA for his LPL business.

Employment History
Current Registrations
LPL Financial LLC
September 2023 - Present · 3 yrs 1 mo
LPL Financial LLCBroker
September 2023 - Present · 3 yrs 1 mo
Previous Registrations
Edward Jones
July 2018 - October 2023 · 5 yrs 3 mos
Edward JonesBroker
April 2018 - October 2023 · 5 yrs 6 mos
State Registrations12 states
AZCAFLGAINLAMENCOHSCTXUT
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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