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Richard Rustin

LPL Financial LLC
24 Years of Experience
Huntington Beach, CA
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Richard Rustin is a registered investment advisor at LPL Financial LLC, based in Huntington Beach, CA, with 24 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

7561 Center Ave Ste 17, Huntington Beach, CA, 92647

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History

Regulatory History (2)
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.
Criminal
October 2011
Final Disposition
Regulatory
June 2009
Final
View Full SEC ReportHow to Read Disclosures
Other 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
December 2021 - Present · 4 yrs 10 mos
LPL Financial LLCBroker
December 2021 - Present · 4 yrs 10 mos
Previous Registrations
Securities America, INC.Broker
October 2017 - December 2021 · 4 yrs 2 mos
Securities America Advisors, INC.
October 2017 - December 2021 · 4 yrs 2 mos
National Planning Corporation ("npc of America" in Fl & Ny)
February 2010 - October 2017 · 7 yrs 8 mos
National Planning CorporationBroker
January 2010 - October 2017 · 7 yrs 9 mos
National Planning Corporation ("npc of America" in Fl & Ny)
January 2010 - January 2010 · 0 mos
Woodbury Financial Services, INC.
March 2005 - January 2010 · 4 yrs 10 mos
Woodbury Financial Services, INC.Broker
May 2002 - January 2010 · 7 yrs 8 mos
Mony Securities CorporationBroker
February 2002 - May 2002 · 3 mos
Foresters Equity Services, INC.Broker
December 2001 - March 2002 · 3 mos
State Registrations2 states
CAFL
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.
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