Julia Oh is a registered investment advisor at LPL Financial LLC, based in Denver, CO, with 8 years of industry experience. Julia 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
6000 E Evans Ave Ste 2-200, Denver, CO, 80222
Get directionsHistory
Regulatory History (4)
Financial
November 2021Financial
August 2019Financial
July 2019Financial
April 2019Other Business Activities
Julia operates Upstream Investment Partners as a DBA for her LPL business, dedicating nearly full-time hours to it. She also manages client relationships for Upstream Tax Partners, spending about 10-20% of her time on tax preparation and accounting, and spends minimal time as a notary.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Sigma Financial CorporationBroker
Spc
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Clearing Services, LLC
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
State Registrations5 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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