Richard Northrup Fisher

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
TX	RA	APPROVED	2013-03-01
NC	RA	APPROVED	2005-08-08

TX RA
APPROVED

Since 2013-03-01
NC RA
APPROVED

Since 2005-08-08

Branch Locations

3120 S Church St Ste 101, Burlington, NC 27215 • United States

122 Memory Plz, Whiteville, NC 28472-2640 • 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	Burlington	NC	07/2005	Present

07/2005 → Present

Lpl Financial Llc

Burlington, NC

Previous Registrations

2001-12-31 → 2005-07-27

Edward Jones

Burlington, NC

Other Businesses

1) 2/10/2009: FISHER WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2) 2/20/2009: No Business Name - INV REL - At Reported Business Location(s) - Real Estate Rental - Time Spent 0% - 1 beach property rental. 3) 12/5/2013: RLF Properties, FACB Properties, 69 West First St. LLC - INV REL - At Reported Business Location(s) - Real Estate Rental - Time Spent 0% - BEACH RENTALS. 3 UNITS. NO RENTERS ARE CUSTOMERS OR ADVISORS. 4) 12/14/2015: Crump Insurance services - INV REL - At Reported Business Location(s) - Non-Variable Insurance - START 11/30/2015 - 5 HRS/MO; 5 HRS/MO DURING SECS TRDG HRS - Sales of insurance products 5) 9/6/2017: No Business Name - Investment Related - Ocean Isle Beach, NC - Real Estate Rental - Started 07/10/2017 - 5 Hours Per Month/0 Hours During Securities Trading. 6) 9/6/2017: 357 w first st LLC - Investment Related - Ocean Isle Beach, NC - Real Estate Rental - Owner - Started 07/04/2016 - 2 Hours Per Month/0 Hours During Securities Trading. 7) 04/05/2019 - oib rentals - Not investment related - ocean isle beach nc - Family Business - start date:01/21/2019 - 1 hr/mo - 0 hrs during trading. 8) 11/4/2021 - rlf properties, facb properties - Investment Related - chapel hill nc 27517; atlantic beach nc, 28512; and atlantic beach nc 285112 - Real Estate Rental - Started 01/11/2021 - 1 Hour Per Month/0 Hours During Securities Trading. 9) 05/24/2022 - Wilson Brown Sock Company - Not Investment Related - Business Owner - Start Date - 05/23/2022 - 0 Hours Per Month/ 0 Hours During Securities Trading.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2000-03-16

S63 Uniform Securities Agent State Law Examination

2000-03-16

Designations

Certified Financial Planner

Other Names

Rick Fisher
Richard Northrup Jr Fisher

View on SEC IAPD