Richard Baron Shanley

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
MI	RA	APPROVED	2025-04-24
TX	RA	APPROVED_RES	2007-10-05
IL	RA	APPROVED	2005-08-09

MI RA
APPROVED

Since 2025-04-24
TX RA
APPROVED_RES

Since 2007-10-05
IL RA
APPROVED

Since 2005-08-09

Branch Locations

Holland, MI • United States

1211 W. 22Nd St, Suite 209, Oak Brook, IL 60523 • 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
Lpl Financial, Llc	Lagrange	IL	03/2005	Present
Horizon Wealth Management, Llc	La Grange	IL	04/2014	07/2022

03/2005 → Present

Lpl Financial, Llc

Lagrange, IL
04/2014 → 07/2022

Horizon Wealth Management, Llc

La Grange, IL

Previous Registrations

2014-04-15 → 2022-08-23

Horizon Wealth Management

La Grange, IL

Other Businesses

1) 5/24/2005 - OTHER-BUSINESS ENTITY FOR ACCOUNTING PURPOSES - SHANLEY WEALTH MANAGEMENT - ACCOUNTING ONLY - LAGRANGE, IL. 2) 05/23/2025 - Baron Ventures, LLC - Investment Related - Real Estate Rental - Home Based - Start Date: 04/21/2025 - 5 Hrs/Mth - 0 Hrs During Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-08-08
S63	Uniform Securities Agent State Law Examination	1999-10-08

S66 Uniform Combined State Law Examination

2005-08-08
S63 Uniform Securities Agent State Law Examination

1999-10-08

Designations

Certified Financial Planner

View on SEC IAPD