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Roy Manriquez

LPL Financial LLC
45 Years of Experience
Los Gatos, CA
3 Disclosures
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Roy Manriquez is a registered investment advisor at LPL Financial LLC, based in Los Gatos, CA, with 45 years of industry experience. Roy operates on a fee-only basis, meaning they do not earn commissions from product sales. 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

236 N Santa Cruz Ave Ste 203, Los Gatos, CA, 95030

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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.
Customer Dispute
July 2013
Settled
Customer Dispute
September 1999
Denied
Customer Dispute
November 1998
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLC
February 2024 - Present · 2 yrs 8 mos
Previous Registrations
Perigon Wealth Management, LLC
June 2018 - February 2024 · 5 yrs 8 mos
Morgan StanleyBroker
May 2013 - June 2018 · 5 yrs 1 mo
Morgan Stanley
May 2013 - June 2018 · 5 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 1990 - May 2013 · 23 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1990 - May 2013 · 23 yrs 2 mos
Kidder, Peabody & CO. IncorporatedBroker
September 1981 - March 1990 · 8 yrs 6 mos
State Registrations2 states
CATX
Advisor

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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