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Peter Rosengard

LPL Financial LLC
47 Years of Experience
Moorestown, NJ
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Peter Rosengard is a registered investment advisor at LPL Financial LLC, based in Moorestown, NJ, with 47 years of industry experience. Peter 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

308 Harper Dr. Ste 101, Moorestown, NJ, 08057

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History

Regulatory History (2)
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
December 2005
Denied
Customer Dispute
September 2004
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Peter operates under several business entities, including R4 Risk and Wealth Solutions and R4 Enterprises, LLC, primarily for his LPL business and tax/investment purposes. He is also an agent for non-variable insurance, dedicating about half of his time to this activity.

Employment History
Current Registrations
LPL Financial LLCBroker
September 2020 - Present · 6 yrs 1 mo
LPL Financial LLC
September 2020 - Present · 6 yrs 1 mo
Previous Registrations
MML Investors Services, LLCBroker
March 2017 - September 2020 · 3 yrs 6 mos
MML Investors Services, LLC
March 2017 - September 2020 · 3 yrs 6 mos
Msi Financial Services, INC.
July 2016 - March 2017 · 8 mos
Msi Financial Services, INC.Broker
July 2016 - March 2017 · 8 mos
Metlife Securities INC.
June 2004 - July 2016 · 12 yrs 1 mo
Metlife Securities, INCBroker
June 2004 - July 2016 · 12 yrs 1 mo
Metropolitan Life Insurance CompanyBroker
June 2004 - July 2007 · 3 yrs 1 mo
Ws Griffith Securities, INC.
June 2002 - June 2004 · 2 yrs
Ws Griffith Securities, INC.Broker
March 1993 - June 2004 · 11 yrs 3 mos
Phoenix Equity Planning CorporationBroker
June 1979 - March 1993 · 13 yrs 9 mos
State Registrations14 states
AZCADCFLGAILMAMDNHNJNYPATXVA
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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