Randall Hugh Richard

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
NC	RA	APPROVED	2019-10-18
TX	RA	APPROVED	2019-10-18

NC RA
APPROVED

Since 2019-10-18
TX RA
APPROVED

Since 2019-10-18

Branch Locations

High Point, NC • 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
Lincoln Financial Securities Corporation	High Point	NC	07/2008	10/2019
Lpl Financial Llc	High Point	NC	10/2019	Present

07/2008 → 10/2019

Lincoln Financial Securities Corporation

High Point, NC
10/2019 → Present

Lpl Financial Llc

High Point, NC

Previous Registrations

2005-05-26 → 2019-10-21

Osaic Fs, Inc.

High Point, NC

High Point, NC
2001-12-31 → 2005-05-26

Pruco Securities, Llc.

Greenboro, NC

Other Businesses

1. 12/2/2021 - ECA Marketing - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 03/10/2020 - 10 Hours Per Month/1 Hour During Securities Trading - Selling fixed annuities such as SPIA's, Multi-Year Guarantee Annuities, Selling Long Term Care Insurance, and Selling Disability Insurance, Selling Life Insurance.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-11-01

S66 Uniform Combined State Law Examination

1999-11-01

View on SEC IAPD