Richard Peter Steigerwald

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

• 10/2014 → 05/2023
  Sigma Financial Corporation
  Ann Arbor, MI
• 10/2014 → 05/2023
  Sigma Planning Corporation
  Ann Arbor, MI
• 05/2023 → Present
  Lpl Financial Llc
  Lone Tree, CO

Previous Registrations

• 2014-10-24 → 2023-05-12
  Spc
  Lone Tree, CO
  Ann Arbor, MI
• 2010-06-04 → 2014-10-31
  Ameriprise Financial Services, Llc
  Denver, CO
• 1999-12-13 → 2010-06-15
  Equitable Advisors, Llc
  Lakewood, CO
  Denver, CO
  Greenwood Village, CO

Other Businesses

1. 05/18/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 06/21/2023 - Tucker Advisory Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 10/01/2014 - 8 Hours Per Month/ 2 Hours During Securities Trading - Time Spent 5%

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-09-13
• S63 Uniform Securities Agent State Law Examination
  1998-07-24

Designations

• Certified Financial Planner

Other Names

• Rick Steigerwald
• Richard Steigerwald