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Richard James Duby

LPl Financial LLC

Temecula, CA

CRD 2986754

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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
CA RA APPROVED 2004-07-30
  • CA RA
    APPROVED
    Since 2004-07-30

Branch Locations

Temecula, CA • 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
Linsco/Private Ledger Corp. Murrieta CA 07/2004 Present
  • 07/2004 → Present
    Linsco/Private Ledger Corp.
    Murrieta, CA
Previous Registrations
  • 1999-12-26 → 2004-08-02
    Osaic Fa, Inc.
    San Diego, CA
Other Businesses

08/23/04 - INVOLVED W/ OUTSIDE SALES OF NON-VARIABLE INSURANCE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-28
S63 Uniform Securities Agent State Law Examination 1998-03-04
  • S65 Uniform Investment Adviser Law Examination
    1999-10-28
  • S63 Uniform Securities Agent State Law Examination
    1998-03-04
Other Names
  • Rich Duby

View on SEC IAPD

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