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Guillermo Gastelum

LPL Financial LLC
19 Years of Experience
Mesa, AZ
1 DisclosureBroker
View SEC Summary
View SEC Summary

Guillermo Gastelum is a registered investment advisor at LPL Financial LLC, based in Mesa, AZ, with 19 years of industry experience. Guillermo 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
28129 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

2740 North Power, Mesa, AZ, 85215

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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
March 2020
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLC
August 2026 - Present · 2 mos
LPL Financial LLC
March 2022 - Present · 4 yrs 7 mos
LPL Financial LLCBroker
March 2022 - Present · 4 yrs 7 mos
Previous Registrations
Bbva Securities INC.Broker
May 2013 - June 2021 · 8 yrs 1 mo
Bbva Compass Investment Solutions, INCBroker
September 2007 - May 2013 · 5 yrs 8 mos
Chase Investment Services CORP.Broker
March 2006 - August 2007 · 1 yr 5 mos
State Registrations1 state
AZ
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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