Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alexis? Claim Your ProfileAlexis Zulueta is a financial advisor with LPL Financial LLC in San Ramon, California. Alexis has been in the financial services industry since 1999 and has a strong track record of helping clients reach their financial goals. Alexis is registered with the state of California and Texas. Prior to joining LPL Financial LLC, Alexis worked at EK Riley Investments, LLC, UBS Financial Services Inc., Money Concepts Capital Corp and WMA Securities, Inc. Alexis holds the Series 7, Series 63, Series 66 and SIE licenses. Alexis also holds a notary public license.
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
CA
08/02/2021 - Present
LPL Financial LLC (SAN RAMON CA)
CA
09/02/2016 - 11/06/2020
EK RILEY INVESTMENTS, LLC (Walnut Creek CA)
CA
11/14/2002 - 09/13/2016
UBS FINANCIAL SERVICES INC. (WALNUT CREEK CA)
FL
02/05/2002 - 12/03/2002
MONEY CONCEPTS CAPITAL CORP (PALM BEACH GARDENS FL)
GA
08/10/1998 - 02/08/2000
WMA SECURITIES, INC. (DULUTH GA)
GA
12/23/1996 - 12/31/1997
WMA SECURITIES, INC. (DULUTH GA)
BOTH
Issued 11/25/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/18/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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