RG
RG

Raymond Ginsberg

25 Years of Experience
Oceanside, CA
1 DisclosureBroker

Raymond Ginsberg is a registered investment advisor at LPL Financial LLC, based in Oceanside, CA, with 25 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)

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.

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Location

625 College Boulevard, Oceanside, CA, 92057

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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 2015
Settled
Employment History
Current Registrations
LPL Financial LLC
September 2017 - Present · 8 yrs 8 mos
LPL Financial LLC
September 2017 - Present · 8 yrs 8 mos
LPL Financial LLCBroker
September 2017 - Present · 8 yrs 8 mos
Previous Registrations
LPL Financial LLC
January 2009 - September 2017 · 8 yrs 8 mos
LPL Financial LLCBroker
January 2009 - September 2017 · 8 yrs 8 mos
Wachovia Securities, LLC
December 2007 - January 2009 · 1 yr 1 mo
Wachovia Securities, LLCBroker
December 2007 - January 2009 · 1 yr 1 mo
Citigroup Global Markets INC.
May 2007 - December 2007 · 7 mos
Citigroup Global Markets INC.Broker
May 2007 - December 2007 · 7 mos
Citicorp Investment Services
March 2004 - May 2007 · 3 yrs 2 mos
Citicorp Investment ServicesBroker
July 2003 - May 2007 · 3 yrs 10 mos
AXA Advisors, LLC
July 2002 - July 2003 · 1 yr
AXA Advisors, LLCBroker
May 2000 - July 2003 · 3 yrs 2 mos
State Registrations10 states
AZCACOIDNVNYOHOKTXWA
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.