John Richard Vaillancourt

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
NH	RA	APPROVED	2021-04-30
TX	RA	APPROVED	2021-04-30

NH RA
APPROVED

Since 2021-04-30
TX RA
APPROVED

Since 2021-04-30

Branch Locations

Bedford, NH • 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Voya Financial Advisors, Inc.	Bedford	NH	06/2016	04/2021
Lpl Financial, Llc	Bedford	NH	04/2021	Present

06/2016 → 04/2021

Voya Financial Advisors, Inc.

Bedford, NH
04/2021 → Present

Lpl Financial, Llc

Bedford, NH

Previous Registrations

2020-02-20 → 2021-05-03

Voya Financial Advisors, Inc.

Bedford, NH

Danvers, MA

Other Businesses

1) 2013 - DBA for LPL Business (entity for LPL business) - Vaillancourt Financial Services - Investment Related - 99% - Bedford, NH 03110 2) 2013 - Non-Variable Insurance - Vaillancourt Financial Services - Investment Related - 1% - Bedford, NH 03110

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-02-10
S63	Uniform Securities Agent State Law Examination	1993-03-09

S65 Uniform Investment Adviser Law Examination

2020-02-10
S63 Uniform Securities Agent State Law Examination

1993-03-09

View on SEC IAPD