Francisco Rivera is a registered investment advisor at LPL Financial LLC, based in Somers, NY, with 15 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
325 Route 100, Somers, NY, 10589
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Francisco operates under the DBA Webster Investments for his LPL business and has a financial institution duty with Webster Bank, starting in July 2024, taking nearly full-time hours. He is also a Notary in the State of CT since April 2022.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Wells Fargo Advisors
Wells Fargo Clearing Services, LLCBroker
J.P. Morgan Securities LLCBroker
Wells Fargo Advisors, LLCBroker
J.P. Morgan Securities LLCBroker
Chase Investment Services CORP.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.