Joshua Rocha is a CFP-designated registered investment advisor at LPL Financial LLC, based in San Luis Obispo, CA, with 5 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
11545 Los Osos Valley Road Suite B-1, San Luis Obispo, CA, 93405
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Joshua operates his LPL business under the DBA Summit Investment Group. He also has outside W-2 employment with Adaptive Innovations Inc, spending a few hours per week on this non-investment related activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Wacker Wealth Partners, LLC
State Registrations1 state
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