Sergio Garza is a registered investment advisor at LPL Financial LLC, based in Tukwila, WA, with 24 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
12770 Gateway Drive, Tukwila, WA, 98168
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Regulatory History (1)
Customer Dispute
April 2015Other Business Activities
Sergio is a co-owner of Sergio & Gloria Garza rental properties since 2017. This is a non-investment related activity and requires minimal time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
PNC Investments
PNC InvestmentsBroker
PNC Investments
LPL Financial LLCBroker
LPL Financial LLC
CUNA Brokerage Services, INC.
CUNA Brokerage Services, INC.Broker
Amerivest Investment Management, LLC
TD Ameritrade, INC.
TD Ameritrade, INC.Broker
Cybertrader, INC.Broker
Charles Schwab & CO., INC.Broker
Janus Distributors, INC.Broker
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.