Orange, CA Office
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LPL Financial
Institution
Firm-wide stats for LPL Financial
About
LPL Financial is an SEC‑registered investment adviser and broker‑dealer that serves individuals (including high‑net‑worth and non‑HNW clients), retirement plans and plan participants, banks, credit unions, corporations, and charitable organizations through a national network of investment adviser representatives (IARs). The firm offers financial planning, a variety of advisory programs (wrap, model and TAMP offerings), retirement plan consulting, 529 account management, and brokerage services, with program descriptions and client agreements provided through the IARs.
The firm provides both discretionary and non‑discretionary management across its programs and makes available model portfolios and research from LPL Research, third‑party subadvisors, and TAMP sponsors; LPL Research describes strategic (three‑ to five‑year) and tactical model approaches and supports diversified and alternative strategies. LPL also offers overlay portfolio management, direct indexing options, the Bank Wealth Program for institutional clients, and participant advice programs (IPA/OPA), and discloses use of technologies such as machine learning along with broad risk disclosures for many security types.
Compared with many peers, LPL’s brochure documents a substantial scope of non‑advisory product activity—an affiliated insurance agency (LPLIA) and continued insurance product sales by IARs, a collateralized lending program including LPL’s Secured Credit Account, and a credit‑card offering through a partner bank—alongside its advisory businesses. The brochure also discloses that LPL advertises performance results but does not present hypothetical performance, and it includes a summary of recent regulatory enforcement matters and remedial undertakings.
Based on LPL Financial
Location
Orange CA
Advisors at this office
3
Advisors at this office
Rainier R
Series 66, Series 63
Orange, CA
LPL Financial
Rainier Radoc is a financial advisor with LPL Financial in Orange, CA, holding Series 63 and Series 66 credentials and 13 years of industry experience. His prior experience includes roles at JP Morgan Securities, Wells Fargo Clearing, and Grape Modern Wealth Management. Radoc is also involved with Rsquared FS LLC, a business entity established for tax and investment purposes. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, corporations, and charitable organizations through a nationwide network. The firm offers a range of advisory programs, financial planning, and retirement plan consulting, utilizing model portfolios, third-party research, and various investment strategies.
Max Z
Series 63, Series 66
Orange, CA
LPL Financial
Max Zelaya is a financial advisor with LPL Financial in Orange, CA, holding Series 63 and Series 66 licenses and bringing 16 years of industry experience. His career includes seven years at Citigroup and earlier roles with Wells Fargo Clearing and Wells Fargo Advisors. Outside of his advisory work, he has managed a catering business for nine years. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, corporations, and charitable organizations through a national network of investment adviser representatives. The firm offers a range of advisory programs, financial planning, and retirement consulting, utilizing model portfolios and research from internal and third-party sources.
Diane S
Series 66
Orange, CA
LPL Financial
Diane Salazar is a financial advisor with LPL Financial, holding a Series 66 designation and bringing 32 years of industry experience. She previously worked at Merrill for 19 years before joining LPL Financial in 2024. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, credit unions, corporations, and charitable organizations nationwide. The firm provides a range of financial planning and advisory programs, including discretionary and non-discretionary management, supported by research from LPL Research and third-party subadvisors.
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