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CFP
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CFP

Roy Straub

LPL Financial LLC
45 Years of Experience
Castle Rock, CO
BrokerSells Insurance
View SEC Summary
View SEC Summary

Roy Straub is a CFP-designated registered investment advisor at LPL Financial LLC, based in Castle Rock, CO, with 45 years of industry experience. Roy 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Castle Rock, CO

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History

Regulatory History
Clean regulatory record

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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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
January 2020 - Present · 6 yrs 9 mos
LPL Financial LLCBroker
January 2020 - Present · 6 yrs 9 mos
Previous Registrations
Securities America Advisors, INC.
November 2007 - January 2020 · 12 yrs 2 mos
Securities America, INC.Broker
November 2007 - January 2020 · 12 yrs 2 mos
Straub Financial INC.
November 1999 - May 2007 · 7 yrs 6 mos
Linsco/private Ledger CORP.
January 1999 - December 2007 · 8 yrs 11 mos
Linsco/private Ledger CORP.Broker
March 1995 - December 2007 · 12 yrs 9 mos
Farwest Securities, INC.Broker
February 1989 - March 1995 · 6 yrs 1 mo
Sma Equities, INC.Broker
December 1980 - February 1989 · 8 yrs 2 mos
State Registrations18 states
AZCACOCTFLIAIDILINMIMTNMNVTXWAWIWVWY
AdvisorBrokerBoth

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
No exam information available for this advisor.
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