Richard David Fontana

Current Employers

Employment History

• 04/2008 → Present
  Lpl Financial Llc
  Upland, CA
• 08/2012 → 12/2018
  Independent Financial Partners
  Upland, CA
• 12/2018 → Present
  Private Advisor Group, Llc
  Upland, CA

Previous Registrations

• 2012-04-17 → 2018-12-31
  Independent Financial Partners
  Upland, CA
  Rancho Cucamonga, CA
• 2007-04-02 → 2008-03-26
  Morgan Stanley & Co. Llc
  Ontario, CA
• 2000-01-27 → 2007-04-02
  Morgan Stanley Dw Inc.
  Ontario, CA
  Ontario, CA

Other Businesses

1. 1/17/2019 - Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Investment Advisor Representative - Started 12/31/2018 - 150 Hours Per Month/4 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 1/17/2019. I expect to spend approximately 150 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 2. 11/26/2019 - No Business Name - Investment Related - Alta Loma, CA 91701 - Real Estate Rental - Start Date: 01/01/2019 - 1 Hour Per Month/0 Hours During Securities Trading. 3. 1/6/2020 - Enhanced Sports Solutions - Not Investment Related - Home Based - Business - Secretary - Start Date: 11/15/2019 - 1 Hour Per Month/0 Hours During Securities Trading - The company designs and manufactures safety equipment for MLB umpires and catchers.

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-01-19
• S63 Uniform Securities Agent State Law Examination
  2000-01-03

Other Names

• Rick Fontana