Richard Rosa
Richard Rosa is a registered investment advisor at LPL Financial LLC, based in Denville, NJ, with 7 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
124 E Main St Ste 101, Denville, NJ, 07834
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Richard operates several DBAs for his LPL business, including Guarino Wealth Management, Main Street Wealth Management, and Granite Wealth Partners. He also works as an agent selling non-variable insurance and provides investment advisory services through Private Advisor Group LLC, dedicating nearly full-time hours to this activity.
Employment History
Current Registrations
LPL Financial LLC
Private Advisor Group, LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
LPL Financial LLC
AXA Advisors, LLCBroker
State Registrations4 states
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