Julia Oh is a registered investment advisor at LPL Financial LLC, based in Denver, CO, with 8 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 (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.