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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

RICARDO RODRIGUEZ

Advisor at LPL FINANCIAL LLC

FONTANA, CA | EL MONTE, CA | WHITTIER, CA

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Search this name across graphsid dfx:ria:c49dbb67-0902-e7aa-eff3-ffd2f74081df

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 25, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 14, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63|S66
First exam: May 14, 1997
First registration: Jan 25, 2002
Dual registered: yes, broker-dealer
Other names: RICARDO RODRIGUEZ|RICK RODRIGUEZ
IAPD individual key: 2840545

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 7, 2020	n/a	yes	WHITTIER, CA\|WHITTIER, CA\|EL MONTE, CA\|FONTANA, CA	Current employment
CHASING VALUE ASSET MANAGEMENT, INC.	n/a	Aug 9, 2018	Apr 29, 2021	no	SANTA MONICA, CA	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Apr 8, 2014	Aug 1, 2018	no	BEVERLY HILLS, CA	Previous registration
WILLIAM O'NEIL SECURITIES	n/a	Jan 25, 2002	Jun 10, 2005	no	LOS ANGELES, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CHASING VALUE ASSET MANAGEMENT, INC.	LPL FINANCIAL LLC	Apr 29, 2021	Apr 7, 2020	-387	Firm change after gap	Other
RBC CAPITAL MARKETS, LLC	CHASING VALUE ASSET MANAGEMENT, INC.	Aug 1, 2018	Aug 9, 2018	8	Firm change	Other
WILLIAM O'NEIL SECURITIES	RBC CAPITAL MARKETS, LLC	Jun 10, 2005	Apr 8, 2014	3,224	Firm change after gap	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 7, 2020 to presentfactForm ADV
→ CHASING VALUE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Aug 9, 2018 to Apr 29, 2021factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Apr 8, 2014 to Aug 1, 2018factForm ADV
→ WILLIAM O'NEIL SECURITIESRegistered adviserregistration: previous registration
Jan 25, 2002 to Jun 10, 2005factForm ADV

Dated events

No dated event names this entity yet.