Brian PedrozaCRD Number: 5980685
Current Firm: Lpl Financial LLC
Brian Pedroza (CRD# 5980685) is an Investment Advisor Representative working at Lpl Financial LLC in Rancho Cucamonga, CA and has over 6 years of experience in the finance industry.
Ubs Financial Services Inc.
Eclectic Associates, Inc.
Asset Planning, Inc.
|Rancho Wealth Management||Rancho Cucamonga, CA||Dec 2015 - Current||2|
|Lpl Financial, LLC||Rancho Cucamonga, CA||May 2014 - Current||3|
|Unemployed||Rancho Cucamonga, CA||Oct 2013 - May 2014||< 1|
|New England Securities||Phoenix, AZ||Sep 2011 - Oct 2013||2|
|Unemployed||Rancho Cucamonga, CA||Jan 2010 - Sep 2011||1|
|Capri Motel||Ontario, CA||May 2001 - Jan 2010||8|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 2011|
|S66||NASAA Uniform Combined State Law Examination||Nov 2013|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management117,248MILLIONS
Total Number of Accounts551,780ACCOUNTS
Average Account Value$212,490
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY