Richard Joseph Pakes

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

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Santa Barbara, CA
• 11/2016 → 01/2021
  Wells Fargo Clearing Services, Llc
  Santa Barbara, CA
• 02/2021 → Present
  Lpl Financial, Llc
  Santa Barbara, CA

Previous Registrations

• 2000-03-22 → 2021-02-16
  Wells Fargo Clearing Services, Llc
  Santa Barbara, CA
  Santa Barbara, CA
  Montecito, CA
  Santa Barbara, CA
  Santa Barbara, CA

Other Businesses

1) 02/11/2021 - Business Entity For Tax/Investment Purposes Only - Pakes Investment Group, LLC - Investment Related - 172 World of Tennis Square, Lakeway TX 78738 - Start date: 01/2021 2) 02/11/2021 - DBA for LPL Business (entity for LPL business) - CVG Wealth Management - Investment Related - Santa Barbara , CA 93101- Start date: 01/2021 3) 03/05/2025 - Claudia Pakes Design Studio - Not Investment Related - Other - Interior Design - Home Based - Start Date:02/24/2025 - 15 Hrs/Mth - 0 Hrs During Trading. 4) 08/13/2025 - Luvant Interiors - Other - Business Owner - Austin TX - Not Inv Rel - Start date: 08/01/2025 - 10 hrs/mnth

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-06-07
• S63 Uniform Securities Agent State Law Examination
  1997-11-05