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Robert Waring

LPL Financial LLC
51 Years of Experience
Prescott, AZ
5 DisclosuresBroker
View SEC Summary
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Robert Waring is a registered investment advisor at LPL Financial LLC, based in Prescott, AZ, with 51 years of industry experience. Robert 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

183 Morning Glow Way, Prescott, AZ, 86303-6707

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History

Regulatory History (5)
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.
Customer Dispute
August 2014
Denied
Customer Dispute
May 2011
Denied
Customer Dispute
July 2009
Denied
Customer Dispute
August 2004
Denied
Customer Dispute
July 2002
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLC
August 2002 - Present · 24 yrs 2 mos
LPL Financial LLCBroker
October 1996 - Present · 30 yrs
Previous Registrations
W & H and Associates, LLC
March 2003 - December 2006 · 3 yrs 9 mos
Securities America, INC.Broker
November 1990 - October 1996 · 5 yrs 11 mos
First Affiliated Securities, INC.Broker
August 1989 - November 1990 · 1 yr 3 mos
Pfg Securities, INC.Broker
March 1988 - August 1989 · 1 yr 5 mos
Integrated Resources Equity CorporationBroker
December 1987 - March 1988 · 3 mos
Financial Planners Equity CorporationBroker
May 1982 - December 1987 · 5 yrs 7 mos
Independent Financial Planners CorporationBroker
February 1982 - April 1982 · 2 mos
Transamerica Fund Sales, INC.Broker
June 1975 - August 1983 · 8 yrs 2 mos
State Registrations12 states
AZCAIDILMTNCNYOHORTXUTVA
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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