Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you R.? Claim Your ProfileR. David De la rosa is a financial professional with over 25 years of experience in the industry. R. David De la rosa is currently registered with LPL Financial LLC and has held previous registrations with FINANCIAL NETWORK INVESTMENT CORPORATION, MULTI-FINANCIAL SECURITIES CORPORATION and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. R. David De la rosa holds Series 63, 65, 7 and SIE licenses and is registered to provide investment advice in 12 states.
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.
1
2
CA
01/21/2020 - Present
LPL Financial LLC (PLACERVILLE CA)
CA
11/03/2006 - 05/27/2008
FINANCIAL NETWORK INVESTMENT CORPORATION (SANTA CRUZ CA)
CA
12/05/2000 - 11/22/2006
MULTI-FINANCIAL SECURITIES CORPORATION (SANTA CRUZ CA)
NY
06/18/1996 - 12/01/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 05/03/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/19/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/10/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure R. De la rosa is the right advisor for you? Invested Better is here to help.
