Richard Brian Williams

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
AZ	RA	APPROVED	2024-11-05
OR	RA	APPROVED	2021-08-02
TX	RA	APPROVED	2021-07-21
WA	RA	APPROVED	2021-07-21

AZ RA
APPROVED

Since 2024-11-05
OR RA
APPROVED

Since 2021-08-02
TX RA
APPROVED

Since 2021-07-21
WA RA
APPROVED

Since 2021-07-21

Branch Locations

Goodyear, AZ • United States

Powell Butte, OR • United States

3950 Fairview Industrial Dr Se Ste 220, Salem, OR 97302 • United States

6830 Sw Atlanta St, Ste 100, Tigard, OR 97223 • United States

7700 Ne Greenwood Dr, Ste 100, Vancouver, WA 98662 • 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

Organization	City	State	From	To
Waddell & Reed, Inc.	Vancouver	WA	09/2000	07/2021
Various Insurance Carriers Of W & R Insurance Agencies	Brush Prairie	WA	11/1997	07/2021
Rental Property	Vancouver	WA	12/2011	09/2019
Premier Baseball Club	Battle Ground	WA	10/2014	10/2018
R.B.W. Enterprises Llc	Brush Prairie	WA	01/2015	07/2021
Williams & Walsh, Llc	Brush Prairie	WA	07/2018	07/2021
Hockinson High School	Brush Prairie	WA	11/2018	07/2021
Wrv Limited, Llc	Vancouver	WA	05/2019	07/2021
Hockinson High School	Brush Prairie	WA	12/2020	Present
Lpl Financial Llc	Vancouver	WA	07/2021	Present

09/2000 → 07/2021

Waddell & Reed, Inc.

Vancouver, WA
11/1997 → 07/2021

Various Insurance Carriers Of W & R Insurance Agencies

Brush Prairie, WA
12/2011 → 09/2019

Rental Property

Vancouver, WA
10/2014 → 10/2018

Premier Baseball Club

Battle Ground, WA
01/2015 → 07/2021

R.B.W. Enterprises Llc

Brush Prairie, WA
07/2018 → 07/2021

Williams & Walsh, Llc

Brush Prairie, WA
11/2018 → 07/2021

Hockinson High School

Brush Prairie, WA
05/2019 → 07/2021

Wrv Limited, Llc

Vancouver, WA
12/2020 → Present

Hockinson High School

Brush Prairie, WA
07/2021 → Present

Lpl Financial Llc

Vancouver, WA

Previous Registrations

2001-02-27 → 2021-07-21

Waddell & Reed

Vancouver, WA

Seattle, WA

Vancouver, WA

Vancouver, WA

Lake Oswego, OR

Seattle, WA

Lake Oswego, OR

Vancouver, WA

Tigard, OR

Other Businesses

1. 09/17/2021 - HOCKINSON HIGH SCHOOL - Other - Coach - Not Investment Related - Started 11/2018 - Time Spent 2% 2. 09/17/2021 - Executor for Parents Trust - Act in a Fiduciary Capacity - Executor - Investment Related - Start Date 1/1/2011 3. 09/17/2021 - WRV Limited LLC - Business Entity For Tax/Investment Purposes Only - Owner - Not Investment Related - At Reported Business Location(s) - Start Date 5/1/19 4. 09/17/2021 - R.B.W. Enterprises LLC - Business Entity For Tax/Investment Purposes Only - Owner - Not Investment Related - Home Based - Start Date 1/1/15 - 40 hours per month 5. 09/17/2021 - Fixed Insurance - Non-Variable Insurance - Investment Related - At Reported business Location(s) - Start Date 7/22/21 - 10 Hours Per Month/ During Trading 6. 08/08/2024 - Calibrate Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) -Start Date 07/30/2024 - 160 Hours Per Month/ 100 Hours During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-01-25

S66 Uniform Combined State Law Examination

2001-01-25

Other Names

Rich Williams

View on SEC IAPD