Claudia Vazquez-geis
Investment adviser representative at LPL Financial LLC
18 yearsExperience
1 stateRegistered in
$819.1BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
18 years in the industry.
- LPL Financial LLCApr 2024 to now
- Linker Financial GroupDec 2023 to now
- Cetera AdvisorsJan 2024 to Apr 2024
- Healthcare Resource ServicesDec 2023 to Apr 2024
- First Allied Advisory Services, IncAug 2018 to Jan 2024
- First Allied Securities, IncAug 2018 to Jan 2024
- UnemployedJul 2018 to Aug 2018
- The Asa GroupMar 2013 to Jul 2018
- Insurance-non VariableAug 2012 to Jul 2018
- Raymond James Financial Services Advisors, IncJan 2009 to Jul 2018
- United Security BankNov 2007 to Jul 2018
- United Security Bank FinancialNov 2007 to Jul 2018
- Raymond James Financial ServicesMay 2006 to Jul 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2003
- Series 66 · Uniform Combined State Law2008
State registrations
Registered as an investment adviser representative in 1 state (CA).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4613630
- Firm CRD
- 6413