Ricardo Rodriguez
Ricardo Rodriguez is a registered investment advisor at LPL Financial LLC, based in Whittier, CA, with 21 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
8028 Greenleaf Ave, Whittier, CA, 90602
Get directionsHistory
Regulatory History (1)
Customer Dispute
June 2005Other 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
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Chasing Value Asset Management, INC.
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
PFS Investments INC.Broker
Acf International INC.Broker
William O'neil & CO. Incorporated
William O'neil & Company, IncorporatedBroker
UBS Painewebber INC.Broker
State Registrations8 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.