Brian Pedroza, financial advisor Rancho Cucamonga CA
78 score

Brian Pedroza

CRD 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 5 years of experience in the finance industry.

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Company Name Location Dates Years
Rancho Wealth Management Rancho Cucamonga, CA Dec 2015 - Current 1
Lpl Financial, LLC Rancho Cucamonga, CA May 2014 - Current 2
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Brian D. Pedroza
Phone Number: 617-423-3644
Firm Website: http://www.lpl.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    112,086
    MILLIONS
  • Total Number of Accounts
    531,091
    ACCOUNTS
  • Average Account Value
    $211,049
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • 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
  • Other
Types of Clients
Registered States

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

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BADGES
78

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