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Warren Strauss

LPL Financial LLC
44 Years of Experience
Bradenton, FL
3 DisclosuresBrokerSells Insurance
View SEC Summary
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Warren Strauss is a registered investment advisor at LPL Financial LLC, based in Bradenton, FL, with 44 years of industry experience. Warren 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
—
View Full SEC Brochure

Location

Bradenton, FL

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
September 2005
Final Disposition
Regulatory
March 1987
Final
Criminal
March 1983
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Warren operates Regent Prime Advisory Services as a DBA for his LPL business, dedicating nearly all of his time to it. He also works as a poll worker, sells non-variable insurance through United American Insurance, and owns Assertive Firearms Team Training, working as a firearms instructor.

Employment History
Current Registrations
LPL Financial LLC
May 2023 - Present · 3 yrs 5 mos
LPL Financial LLCBroker
May 2023 - Present · 3 yrs 5 mos
Previous Registrations
Ameriprise Financial Services, LLC
February 2017 - May 2023 · 6 yrs 3 mos
Ameriprise Financial Services, LLCBroker
February 2017 - May 2023 · 6 yrs 3 mos
Oppenheimer & CO. INC.
March 2016 - February 2017 · 11 mos
Oppenheimer & CO. INC.Broker
April 2011 - February 2017 · 5 yrs 10 mos
Moors & Cabot, INC.Broker
June 1997 - April 2011 · 13 yrs 10 mos
First Albany CorporationBroker
February 1996 - June 1997 · 1 yr 4 mos
Smith Barney INC.Broker
July 1994 - February 1996 · 1 yr 7 mos
Legg Mason Wood Walker, IncorporatedBroker
August 1989 - June 1994 · 4 yrs 10 mos
Hambrecht & Quist IncorporatedBroker
January 1988 - August 1989 · 1 yr 7 mos
Dean Witter Reynolds INC.Broker
October 1984 - December 1987 · 3 yrs 2 mos
Dean Witter Reynolds INC.Broker
January 1981 - April 1983 · 2 yrs 3 mos
State Registrations13 states
CACOCTFLGALAMAMDNYOHSDTXVT
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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