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Richard Paul Hager

LPl Enterprise, LLC

Norwalk, CT

CRD 1820174

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Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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 Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-11-14
TX RA APPROVED_RES 2024-11-14
  • CT RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2024-11-14

Branch Locations

Norwalk, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Prudential Insurance Company Of America Norwalk CT 03/1988 Present
Pruco Securities, Llc. Norwalk CT 03/1988 11/2024
Lpl Enterprise, Llc Norwalk CT 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-04-25
S63 Uniform Securities Agent State Law Examination 1996-07-12
  • S65 Uniform Investment Adviser Law Examination
    1997-04-25
  • S63 Uniform Securities Agent State Law Examination
    1996-07-12
Other Names
  • Richard Paul (Jr) Hager

View on SEC IAPD

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