Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roberto? Claim Your ProfileRoberto Flores is a registered representative with LPL Financial LLC, a broker-dealer. Roberto is also a registered investment advisor representative. Roberto has been in the securities industry since August 8, 2018. Prior to joining LPL Financial LLC, Roberto was a registered representative with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Roberto is licensed in Arizona, California, Idaho, Nevada, New Jersey, Oregon, Texas, and Washington. Roberto holds the Series 7, Series 66 and SIE exams. Roberto specializes in working with high-net-worth individuals, corporations, and other businesses.
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
10/07/2022 - Present
LPL Financial LLC (SANTA ANA CA)
CA
08/09/2018 - 07/01/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
BOTH
Issued 09/07/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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