Robert Findley is a CFP-designated registered investment advisor at LPL Financial LLC, based in Scottsbluff, NE, with 35 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
2002 Broadway, Scottsbluff, NE, 69361
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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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Robert is a trustee for the Bullock Trust, dedicating a few hours per week. He also has a financial institution duty at Riverstone Bank, spending about 10-20% of his time there, with minimal time during trading hours.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
Smith Hayes Advisers INC
Smith Hayes Financial Services CorporationBroker
Edward D. Jones & CO., L.P.Broker
State Registrations22 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.