Roberto Cantu
Roberto Cantu is a registered investment advisor at LPL Financial LLC, based in San Antonio, TX, 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
211 N Loop 1604 E, Suite 165, San Antonio, TX, 78232
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Roberto operates Upstream Investment Partners as a DBA for his LPL business and sells non-variable insurance. He also works as an insurance agent, dedicating about a quarter of his time to this activity.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Sigma Financial CorporationBroker
Spc
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Investment Professionals, INC.
Investment Professionals, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Trinity Securities, INC.Broker
State Registrations1 state
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