Jose Rosales is a registered investment advisor at LPL Financial LLC, based in Anaheim, CA, with 12 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
590 N Euclid St, Anaheim, CA, 92801
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
September 2014Other Business Activities
Jose operates under two DBAs for his LPL business: Ample Wealth Management since 2021 and SchoolsFirst Investment Services since 2023. Working with SchoolsFirst Investment Services takes nearly full-time hours.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
J.P. Morgan Securities LLCBroker
State Registrations13 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.