Richard Rustin
Richard Rustin is a registered investment advisor at LPL Financial LLC, based in Huntington Beach, CA, 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
7561 Center Ave Ste 17, Huntington Beach, CA, 92647
Get directionsHistory
Regulatory History (2)
Criminal
October 2011Regulatory
June 2009Other Business ActivitiesSells Insurance
Richard operates under the DBA Gateway Financial Services for his LPL business, dedicating about a quarter of his time. He also sells non-variable insurance and spends about 10-20% of his time buying/selling sports and movie collectibles and Non-Fungible Tokens.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Securities America, INC.Broker
Securities America Advisors, INC.
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
National Planning Corporation ("npc of America" in Fl & Ny)
Woodbury Financial Services, INC.
Woodbury Financial Services, INC.Broker
Mony Securities CorporationBroker
Foresters Equity Services, INC.Broker
State Registrations2 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.