Richard Garcia is a registered investment advisor at LPL Financial LLC, based in Lewiston, ME, with 13 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
1071 Lisbon St, Lewiston, ME, 04240-5768
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Richard spends about half his time as a DBA for LPL business through Twin City Financial Group. He also dedicates about 50 hours per month to Back River Tax Accounting, where he is a fully licensed participant in the CPA Affiliate Program.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
The Patriot Financial Group, LLC
LPL Financial LLC
New England Securities Corporation
New England SecuritiesBroker
State Registrations3 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.