TrueAdvisor
TrueAdvisor
RD
RD

Rocio Derodriguez

Kestra Advisory Services, LLC
32 Years of Experience
Dublin, CA
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Rocio Derodriguez is a registered investment advisor at Kestra Advisory Services, LLC, based in Dublin, CA, with 32 years of industry experience. Rocio is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Education Planning, Estate Planning, Insurance Planning, and 3 more. Their firm serves 117,403 clients with $80B in assets under management.

Kestra Advisory Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1456 advisors
Number of Clients
117,403 clients
Average Client Portfolio
$680K average
Assets Under Management
$79.8B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Asset-based fees range up to 2.5% of assets under management and are negotiable based on account size, registration type, and services provided.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Dublin, CA

Get directions

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
May 2019
Closed-No Action
Customer Dispute
April 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Rocio is a registered representative with Kestra Investment Services, LLC and Kestra Advisory Services, LLC, providing financial planning and investment advisory services. This work takes nearly all of Rocio's time and includes insurance activities.

Employment History
Current Registrations
Kestra Advisory Services, LLC
July 2017 - Present · 9 yrs 3 mos
Kestra Investment Services, LLCBroker
July 2017 - Present · 9 yrs 3 mos
Previous Registrations
Centaurus Financial, INC.Broker
June 2010 - July 2017 · 7 yrs 1 mo
Centaurus Financial, INC.
June 2010 - July 2017 · 7 yrs 1 mo
AXA Advisors, LLCBroker
August 2007 - June 2010 · 2 yrs 10 mos
AXA Advisors, LLC
August 2007 - June 2010 · 2 yrs 10 mos
AXA Advisors, LLCBroker
June 2007 - August 2007 · 2 mos
AXA Advisors, LLC
June 2007 - August 2007 · 2 mos
1717 Capital Management Company
November 2005 - June 2007 · 1 yr 7 mos
1717 Capital Management CompanyBroker
October 2005 - June 2007 · 1 yr 8 mos
Metlife Securities INC.
November 2001 - September 2005 · 3 yrs 10 mos
Metlife Securities INC.Broker
August 1994 - September 2005 · 11 yrs 1 mo
Metropolitan Life Insurance CompanyBroker
August 1994 - September 2005 · 11 yrs 1 mo
State Registrations6 states
AZCACONVOHTX
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.
More Advisors
More financial advisors in Dublin, CA →All financial advisors in California →