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Ricardo Rodriguez

LPL Financial LLC
21 Years of Experience
Whittier, CA
1 DisclosureBroker
View SEC Summary
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Ricardo Rodriguez is a registered investment advisor at LPL Financial LLC, based in Whittier, CA, with 21 years of industry experience. Ricardo 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

8028 Greenleaf Ave, Whittier, CA, 90602

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History

Regulatory History (1)
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
June 2005
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Ricardo operates SoCal Wealth Management as a DBA for his LPL business. This activity is investment-related and takes up 100% of his time.

Employment History
Current Registrations
LPL Financial LLC
April 2020 - Present · 6 yrs 6 mos
LPL Financial LLCBroker
April 2020 - Present · 6 yrs 6 mos
LPL Financial LLC
April 2020 - Present · 6 yrs 6 mos
Previous Registrations
Chasing Value Asset Management, INC.
August 2018 - April 2021 · 2 yrs 8 mos
RBC Capital Markets, LLC
April 2014 - August 2018 · 4 yrs 4 mos
RBC Capital Markets, LLCBroker
March 2014 - August 2018 · 4 yrs 5 mos
PFS Investments INC.Broker
May 2009 - May 2009 · 0 mos
Acf International INC.Broker
December 2005 - May 2007 · 1 yr 5 mos
William O'neil & CO. Incorporated
January 2002 - June 2005 · 3 yrs 5 mos
William O'neil & Company, IncorporatedBroker
March 2001 - June 2005 · 4 yrs 3 mos
UBS Painewebber INC.Broker
July 1997 - March 2001 · 3 yrs 8 mos
State Registrations9 states
AZCACOFLMEMONVOKUT
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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