R. David De La Rosa

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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-11-17
TX	RA	APPROVED_RES	2020-01-21

CA RA
APPROVED

Since 2025-11-17
TX RA
APPROVED_RES

Since 2020-01-21

Branch Locations

Placerville, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial	Santa Cruz	CA	05/2008	Present

05/2008 → Present

Lpl Financial

Santa Cruz, CA

Previous Registrations

2006-11-06 → 2008-05-27

Cetera Wealth Services, Llc

Santa Cruz, CA

Livermore, CA

Santa Cruz, CA
2002-03-11 → 2006-11-22

Cetera Advisors Llc

Santa Cruz, CA

Santa Cruz, CA

Other Businesses

1. 05/23/08 - DBA CROSSPICK GUITAR PICKS, 1% TIME SPENT.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-05-03
S63	Uniform Securities Agent State Law Examination	1996-04-19

S65 Uniform Investment Adviser Law Examination

1996-05-03
S63 Uniform Securities Agent State Law Examination

1996-04-19

Other Names

Raul D Delarosa
Raul David Delarosa
Raul David De La Rosa

View on SEC IAPD