Erick Rosales

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2005 → 08/2021
  Wells Fargo Bank, Na
  Lafayette, CA
• 11/2019 → 05/2020
  Amazon
  San Francisco, CA
• 07/2021 → 05/2023
  Morgan Stanley
  Mountain View, CA
• 08/2023 → 06/2025
  J.P. Morgan Securities Llc
  Concord, CA
• 08/2023 → 06/2025
  Jpmorgan Chase Bank, N.A.
  Concord, CA
• 06/2023 → 07/2023
  Unemployed
  Fremont, CA
• 06/2025 → Present
  Travis Credit Union
  Vacaville, CA
• 06/2025 → Present
  Lpl Financial Llc
  Vacaville, CA

Previous Registrations

• 2024-10-16 → 2025-06-22
  J.P. Morgan Securities Llc
  Concord, CA
• 2021-08-20 → 2023-06-02
  Morgan Stanley
  Mountain View, CA
• 2020-11-19 → 2021-08-12
  Wells Fargo Clearing Services, Llc
  Lafayette, CA
  Walnut Creek, CA

Other Businesses

1. 06/10/2025 - Travis Credit Union - Financial Institution Duty - Investment Related - Vacaville, CA 95687 - Start date: 06/09/2025 - 160 Hrs/Mth - 8 Hrs During Trading - time Spent: 100. 2) 06/10/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Travis Financial Services - Inv. Related- At reported business location(s) 3) 09/10/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Travis Wealth Management - Inv. Related- At reported business location(s)

Exams

• S66 Uniform Combined State Law Examination
  2020-11-18

Other Names

• Erick D Rosales
• Erick Dagoberto Rosales
• Erick Rosales