Wendy Richardson
Wendy Richardson is a registered investment advisor at LPL Financial LLC, based in East Lyme, CT, with 13 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
211 Boston Push Rd, East Lyme, CT, 06333
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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.
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Wendy is a 50% owner of Premier CPAs, where she works full-time as a CPA and tax preparer since 2009. She also owns 50% of Extreme Profit LLC, a rental property, dedicating minimal time to it since 2006.
Employment History
Current Registrations
LPL Financial LLC
Previous Registrations
Cadaret Grant & CO INC
Securities America Advisors, INC.
Investacorp Advisory Services INC
Invest Financial Corporation
State Registrations1 state
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.