Sergio Ceja, financial advisor Little Rock AR
83 score

Sergio Ceja

CRD Number: 5924794
Current Firm: Lpl Financial LLC

Sergio Ceja (CRD# 5924794) is an Investment Advisor Representative working at Lpl Financial LLC in Little Rock, AR and has over 6 years of experience in the finance industry.

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Company Name Location Dates Years
Lpl Financial, LLC Little Rock, AR Dec 2017 - Current < 1
U.s. Bancorp Investments, Inc. North Little Rock, AR Sep 2013 - Nov 2017 4
Bkd, LLP Little Rock, AR Jan 2013 - Sep 2013 < 1
Morgan Stanley Smith Barney Little Rock, AR May 2011 - Jan 2013 1
Vaughan And Friedman Law Firm Jacksonville, AR Sep 2010 - May 2011 < 1
Bar Exam Study Little Rock, AR May 2010 - Sep 2010 < 1
University Of Arkansas At Little Rock Little Rock, AR Aug 2007 - May 2010 2
Monterrey Tellez Law Firm Little Rock, AR Sep 2009 - Dec 2009 < 1
Charles Dunn Firm Lubbock, TX Jul 2009 - Aug 2009 < 1
Charles Dunn Firm Lubbock, TX Jul 2008 - Aug 2008 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2011
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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Sergio M. Ceja
Phone Number: 617-423-3644
Firm Website: http://www.lpl.com
Registered State(s):
  • AR
  • TX
By the Numbers
  • Total Assets Under Management
    117,248
    MILLIONS
  • Total Number of Accounts
    551,780
    ACCOUNTS
  • Average Account Value
    $212,490
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, WY

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BADGES
83

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