Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roderick? Claim Your ProfileRoderick Roxas Uy is a financial advisor at LPL Financial LLC. Roderick has been in the industry since 2005 and holds licenses in multiple states. Roderick provides investment advice and financial planning services to individuals, businesses, and institutions. Roderick has worked with LPL Financial LLC since 2009. Previously, Roderick was registered with Summit Brokerage Services, Inc. and National Planning Corporation.
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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CA
01/22/2016 - Present
LPL Financial LLC (TORRANCE CA)
CA
04/16/2009 - 12/31/2010
SUMMIT BROKERAGE SERVICES, INC. (TORRANCE CA)
CA
06/14/2007 - 04/20/2009
LPL FINANCIAL CORPORATION (TORRANCE CA)
CA
04/28/2005 - 06/25/2007
NATIONAL PLANNING CORPORATION (TORRANCE CA)
IA
Issued 11/09/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/14/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/27/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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