John Cato Rich

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

• 04/2005 → 11/2017
  Investment Centers Of America, Inc.
  Kerrville, TX
• 11/2017 → Present
  Lpl Financial Llc
  Kerrville, TX

Previous Registrations

• 2005-05-04 → 2017-11-29
  Investment Centers Of America, Inc.
  Blanco, TX
  Boerne, TX
  Bulverde, TX
  Canyon Lake, TX
  Comfort, TX
  Harper, TX
  Ingram, TX
  Kingsland, TX
  Kerrville, TX
  Kerrville, TX
  Spicewood, TX
  Lago Vista, TX
  Marble Falls, TX
  Dripping Springs, TX
  Kerrville, TX
  Appleton, WI

Other Businesses

1. 6/3/2020 - Garrett and Rich Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/27/2020 - 173 Hours Per Month/130 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2005-05-02
• S63 Uniform Securities Agent State Law Examination
  2000-12-07