Roderick Uy
Roderick Uy is a registered investment advisor at LPL Financial LLC, based in Torrance, CA, with 20 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
21250 Hawthorne Blvd Ste 500, Torrance, CA, 90503
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Roderick operates LifePoint Wealth Management as a DBA for his LPL business and is also an agent for LifePoint Wealth Management, Inc. He sells life, health, disability, and long-term care insurance, dedicating about 10-20% of his time to these activities.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Summit Financial Group INC
Summit Brokerage Services, INC.Broker
LPL Financial CorporationBroker
National Planning CorporationBroker
State Registrations13 states
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