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Helmut Garcia

LPL Financial LLC
15 Years of Experience
Pasadena, CA
1 DisclosureBroker
View SEC Summary
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Helmut Garcia is a registered investment advisor at LPL Financial LLC, based in Pasadena, CA, with 15 years of industry experience. Helmut 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

123 South Marengo Avenue, Pasadena, CA, 91101

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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.
Employment Separation After Allegations
June 2016
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLCBroker
May 2025 - Present · 1 yr 5 mos
LPL Financial LLC
May 2025 - Present · 1 yr 5 mos
Previous Registrations
Cuso Financial Services, L.P.Broker
December 2023 - May 2025 · 1 yr 5 mos
Cuso Financial Services, L.P.
December 2023 - May 2025 · 1 yr 5 mos
MML Investors Services, LLC
June 2021 - January 2024 · 2 yrs 7 mos
MML Investors Services, LLCBroker
May 2021 - January 2024 · 2 yrs 8 mos
Purshe Kaplan Sterling InvestmentsBroker
October 2019 - February 2021 · 1 yr 4 mos
Miramontes Capital, LLC
August 2019 - February 2021 · 1 yr 6 mos
The Retirement Group, LLC
April 2018 - June 2019 · 1 yr 2 mos
Fsc Securities CorporationBroker
March 2018 - June 2019 · 1 yr 3 mos
Fsc Securities Corporation
March 2018 - June 2019 · 1 yr 3 mos
Transamerica Financial Advisors, INC.
March 2017 - September 2017 · 6 mos
Transamerica Financial Advisors, INCBroker
March 2017 - September 2017 · 6 mos
Bancwest Investment Services, INC. (bwis) and Bwis D/b/a Fhis
July 2014 - June 2016 · 1 yr 11 mos
Bancwest Investment Services, INC.Broker
July 2014 - June 2016 · 1 yr 11 mos
Metlife Securities INC.Broker
June 2014 - July 2014 · 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2012 - December 2013 · 1 yr 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2012 - December 2013 · 1 yr 4 mos
City National Securities, INC.
January 2011 - August 2011 · 7 mos
City National Securities, INC.Broker
January 2011 - August 2011 · 7 mos
E*trade Capital Management, LLC
June 2009 - May 2010 · 11 mos
E*trade Securities LLCBroker
November 2007 - May 2010 · 2 yrs 6 mos
State Registrations25 states
AZCACOFLGAIDINKSLAMDMEMIMNMONCNMNVNYORPASCTXUTVAWA
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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