Richard Garza is a registered investment advisor at LPL Financial LLC, based in Austin, TX, with 25 years of industry experience. Richard 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
Austin, TX
Get directionsHistory
Regulatory History (1)
Judgment / Lien
June 2026Other Business Activities
Richard is associated with YaYa Ranch LLC, a business entity for tax/investment purposes only, since May 2024. This home-based activity requires minimal time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Sws Financial ServicesBroker
Sws Financial Services
Southwest Securities, INC.
Southwest Securities, INC.Broker
Citigroup Global Markets INC.Broker
State Registrations20 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.
Exams
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