Roy Straub
Roy Straub is a CFP-designated registered investment advisor at LPL Financial LLC, based in Castle Rock, CO, with 45 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
Castle Rock, CO
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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
Roy is doing business as Straub Financial Inc., which is an entity for LPL business. Roy also engages in non-variable insurance activities through Straub Financial Inc.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
Straub Financial INC.
Linsco/private Ledger CORP.
Linsco/private Ledger CORP.Broker
Farwest Securities, INC.Broker
Sma Equities, INC.Broker
State Registrations18 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.