Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adolfo? Claim Your ProfileAdolfo Gaspar Sotomayor is a financial advisor with LPL Financial LLC. Adolfo has been in the financial industry since 2003 and has been registered with LPL Financial LLC since 2021. Adolfo has a broad range of experience in the financial industry and has held positions at a number of firms, including Raymond James Financial Services, Inc., Scottrade, Inc., TD Ameritrade, Inc., Ameriprise Financial Services, Inc., IDS Life Insurance Company, Wells Fargo Investments, LLC, and Fortis Investors, Inc. Adolfo is licensed to provide financial advice in a number of states, including Texas, Florida, Minnesota, Oregon, Mississippi, California, Virginia, New York, Oklahoma, Michigan, Louisiana, Tennessee, North Carolina, Massachusetts, and Kansas. Adolfo is committed to providing his clients with personalized financial advice and helping them achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
TX
02/01/2021 - Present
LPL Financial LLC (VICTORIA TX)
MN
12/04/2015 - 02/01/2019
RAYMOND JAMES FINANCIAL SERVICES, INC. (WOODBURY MN)
MN
08/08/2013 - 12/07/2015
SCOTTRADE, INC. (APPLE VALLEY MN)
MN
03/29/2007 - 01/18/2012
TD AMERITRADE, INC. (ST. PAUL MN)
MN
03/23/2005 - 10/03/2006
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
MN
03/23/2005 - 06/20/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
CA
04/05/2001 - 04/14/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
MN
08/25/1997 - 10/30/2000
FORTIS INVESTORS, INC. (OAKDALE MN)
BOTH
Issued 02/06/2016
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/29/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/04/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/1999
Series 7 - General Securities Representative Examination
BC
Issued 08/22/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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