Richard Wade Herbert

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

• 03/2011 → 07/2021
  Waddell & Reed, Inc
  Creve Coeur, MO
• 03/2011 → 07/2021
  Various Insurance Carriers For W&R Insurance Agencies, Inc
  Chesterfield, MO
• 07/2021 → Present
  Lpl Financial Llc
  Denver, CO

Previous Registrations

• 2011-03-17 → 2021-07-21
  Waddell & Reed
  Golden, CO
  Denver, CO
  Wichita, KS
  Hays, KS
  Las Vegas, NV
  Colorado Springs, CO
  Shawnee, KS
  Independence, MO
  Edmond, OK
  Overland Park, KS
• 2008-04-23 → 2011-03-11
  New England Securities
  Colorado Springs, CO
• 2006-02-21 → 2007-08-20
  Mml Investors Services, Llc
  Colorado Springs, CO
  Denver, CO
• 2001-02-17 → 2005-12-13
  Pruco Securities, Llc.
  Colorado Springs, CO

Other Businesses

1. 9/20/2021 - RMW Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/01/2019. 2. 10/26/2021 - R W Herbert & Associates, LTD - Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Owner - Start Date: 11/01/2021 - 5 Hours Per Month During Securities Trading. 3. 1/13/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 02/01/2022 - 5 Hours Per Month/3 Hours During Securities Trading. 4. 10/31/2022 - RMW Rocky Mountain Wealth Advisory Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 07/01/2022 - 40 Hours Per Month/40 Hours During Securities Trading. 5. 10/13/2025 - Jones Investment Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s)Start Date: 10/08/2025 - 2 Hours Per Month/0 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2011-09-19
• S65 Uniform Investment Adviser Law Examination
  1999-06-28
• S63 Uniform Securities Agent State Law Examination
  1990-05-03

Other Names

• Wade Herbert
• Richard Herbert