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Jerry Bandith Rickey

LPl Financial LLC

Placerville, CA

Fort Mill, SC

CRD 2873529

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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-10-24
CA RA APPROVED 2018-01-09
  • TX RA
    APPROVED_RES
    Since 2018-10-24
  • CA RA
    APPROVED
    Since 2018-01-09

Branch Locations

Placerville, CA • United States

1055 Lpl Way, Fort Mill, SC 29715 • 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
OrganizationCityStateFromTo
Wells Fargo Clearing Services, Llc Roseville CA 11/2017 01/2018
Unemployed Placerville CA 05/2017 11/2017
Lpl Financial Llc Placerville CA 01/2018 Present
Lpl Financial Llc San Diego CA 08/2003 05/2017
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-02-26
S63 Uniform Securities Agent State Law Examination 1997-04-25
  • S65 Uniform Investment Adviser Law Examination
    1999-02-26
  • S63 Uniform Securities Agent State Law Examination
    1997-04-25
Other Names
  • Bandith Phanthavong

View on SEC IAPD

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