Guillermo Alonzo Gastelum

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

• 09/2007 → 10/2021
  Bbva Compass Investment Solutions, Inc.
  Sun City, AZ
• 05/2013 → 10/2021
  Bbva Securities Inc.
  Sun City, AZ
• 12/2007 → 10/2021
  Bbva Compass Insurance Agency, Inc.
  Austin, TX
• 01/2020 → 03/2022
  Uber
  Tempe, AZ
• 10/2021 → 03/2022
  Pnc Bank
  Sun City, AZ
• 03/2022 → Present
  Lpl Financial
  Mesa, AZ
• 03/2022 → Present
  Bmo Bank Na
  Mesa, AZ

Other Businesses

1)3/2022- BMO Bank NA - Financial Institution Duty/ LBE- inv. related- Mesa, AZ- start date 3/2022- 160hrs/mth 2) 3/2022- BMO Investment Services- DBA for LPL Business (entity for LPL business)- inv. related- at reported business location(s) 3) 3/2022- SPONTANEOUS STAYS LLC- Real Estate Rental- non inv. related- 615 Portland St. Phoenix, AZ- start date 2021- 5hrs/mth 4) 3/2022- Guillermo Gastelum- notary- inv. related- Mesa, AZ- start date 2/2004- 1hrs/mth

Exams

• S65 Uniform Investment Adviser Law Examination
  2026-08-18
• S63 Uniform Securities Agent State Law Examination
  2006-04-19

Other Names

• Guillermo A Gastelum