Richard Allan Moen

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

• 01/2006 → 06/2024
  Securities America, Inc.
  Turlock, CA
• 01/2006 → 06/2024
  Securities America Advisors, Inc
  Turlock, CA
• 10/2005 → 09/2024
  Winton-Ireland, Strom Adn Green
  Turlock, CA
• 06/2024 → 09/2024
  Osaic Wealth, Inc.
  Turlock, CA
• 06/2024 → 09/2024
  Osaic Wealth, Inc.
  Turlock, CA
• 07/2024 → Present
  Woodruff Sawyer
  Modesto, CA
• 09/2024 → Present
  Lpl Financial
  Fresno, CA

Previous Registrations

• 2024-06-14 → 2024-10-07
  Osaic Wealth, Inc.
  Turlock, CA
• 2006-01-19 → 2024-06-14
  Securities America Advisors, Inc.
  Turlock, CA
  Turlock, CA
• 2002-11-04 → 2005-10-25
  Valic Financial Advisors, Inc.
  Modesto, CA
• 2003-02-27 → 2005-10-11
  American General Financial Advisors, Inc.
  Fresno, CA

Other Businesses

1) 09/2024 - NVI / Non-Variable Insurance / Modesto, CA / Start date 10/21/2005 - 160 hrs per month - 95% Time Spent 2) 09/2024 - Orion Wealth, Inc. / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s)

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-11-01
• S63 Uniform Securities Agent State Law Examination
  2001-08-25