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David Sean Rich

LPl Financial LLC

Fort Mill, SC

Fort Mill, SC

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2025-09-04
  • SC RA
    APPROVED
    Since 2025-09-04

Branch Locations

1055 Lpl Way, Fort Mill, SC 29715 • United States

Fort Mill, SC • 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
National Asset Management, Inc. New York City NY 12/2009 05/2017
National Securities Corp New York NY 11/2011 05/2017
Lpl Financial, Llc Fort Mill SC 05/2017 Present
National Securities New York NY 11/2011 05/2017
Financial Resources Group Investment Services, Llc Fort Mill SC 06/2017 08/2025
Gladstone Wealth Partners Fort Mill SC 06/2020 08/2025
Financial Resources Group Fort Mill SC 08/2022 11/2025
  • 12/2009 → 05/2017
    National Asset Management, Inc.
    New York City, NY
  • 11/2011 → 05/2017
    National Securities Corp
    New York, NY
  • 05/2017 → Present
    Lpl Financial, Llc
    Fort Mill, SC
  • 11/2011 → 05/2017
    National Securities
    New York, NY
  • 06/2017 → 08/2025
    Financial Resources Group Investment Services, Llc
    Fort Mill, SC
  • 06/2020 → 08/2025
    Gladstone Wealth Partners
    Fort Mill, SC
  • 08/2022 → 11/2025
    Financial Resources Group
    Fort Mill, SC
Previous Registrations
  • 2020-06-24 → 2025-09-05
    Gladstone Wealth Partners
    Palm Beach Gardens, FL
    Fort Mill, SC
  • 2022-08-15 → 2023-09-20
    Financial Resources Group Investment Services, Llc
    Fort Mill, SC
    Fort Mill, SC
    Fort Mill, SC
  • 2010-01-05 → 2017-06-02
    B. Riley Wealth Advisors, Inc.
    New York City, NY
    New York, NY
    New York, NY
    Tinton Falls, NJ
    New York, NY
  • 2006-08-16 → 2010-05-11
    Vfinance Advisors, Inc.
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-23
S63 Uniform Securities Agent State Law Examination 1997-10-24
  • S65 Uniform Investment Adviser Law Examination
    2006-05-23
  • S63 Uniform Securities Agent State Law Examination
    1997-10-24

View on SEC IAPD

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EDWARD JONES
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PFS INVESTMENTS INC.

Other Investors

ALPESH JITENDRA PATEL
Tamrah Jennifer Bordini
MATTHEW N WALLEN
RAMIRO IGNACIO PARES
NILDA MELGAREJO DE BOYRIE
STEVEN Samuel SHANEYFELT
Katie Wineski Riegel
Christopher Wayne McAlister

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Fort Mill, SC
BELLEAIR WEALTH MANAGEMENT, LLC · Fort Mill, SC
WEALTHCARE ADVISORY PARTNERS LLC · Fort Mill, SC
INSIGHT SECURITIES, INC. · Fort Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Fort Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC
EDWARD JONES · FORT MILL, SC

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