Robert Waring
Robert Waring is a registered investment advisor at LPL Financial LLC, based in Prescott, AZ, with 50 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
183 Morning Glow Way, Prescott, AZ, 86303-6707
Get directionsHistory
Regulatory History (5)
Customer Dispute
August 2014Customer Dispute
May 2011Customer Dispute
July 2009Customer Dispute
August 2004Customer Dispute
July 2002Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
W & H and Associates, LLC
Securities America, INC.Broker
First Affiliated Securities, INC.Broker
Pfg Securities, INC.Broker
Integrated Resources Equity CorporationBroker
Financial Planners Equity CorporationBroker
Independent Financial Planners CorporationBroker
Transamerica Fund Sales, INC.Broker
State Registrations12 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.