Richard Robert Knause

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
PA	RA	APPROVED	2019-10-29

PA RA
APPROVED

Since 2019-10-29

Branch Locations

Carnegie, PA • 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
Arthur/Kent, Inc	Carnegie	PA	08/1997	Present
Cadaret, Grant & Co., Inc.	Carnegie	PA	07/1998	10/2019
Lpl Financial	Carnegie	PA	10/2019	Present

08/1997 → Present

Arthur/Kent, Inc

Carnegie, PA
07/1998 → 10/2019

Cadaret, Grant & Co., Inc.

Carnegie, PA
10/2019 → Present

Lpl Financial

Carnegie, PA

Previous Registrations

2019-07-22 → 2019-11-01

Cadaret, Grant & Co., Inc.

Carnegie, PA

Carnegie, PA

Other Businesses

1) 6/2008 - Non-Variable Insurance - Arthur/Kent, Inc. - Investment Related - Carnegie, PA 2) 10/2019 - Bookkeeping - Investment Related - Carnegie, PA 3) 10/2019 - DBA for LPL Business (entity for LPL business) - Arthur/Kent, Inc. - Investment Related - Carnegie, PA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-07-19
S63	Uniform Securities Agent State Law Examination	1998-07-23

S65 Uniform Investment Adviser Law Examination

2019-07-19
S63 Uniform Securities Agent State Law Examination

1998-07-23

Other Names

Richard Robert Knause

View on SEC IAPD