Rischi Paul Sharma

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

• 03/2006 → Present
  Lpl Financial Llc
  San Juan Capistrano, CA

Previous Registrations

• 2000-09-21 → 2006-03-07
  Equitable Advisors, Llc
  Irvine, CA

Other Businesses

1. 04/07/2008 - FASVAS.COM - INV REL - Non-Variable Insurance - 10% TIME SPENT - online application system 2. 10/20/2008 - Assembly Pointe Financial - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) 3. 10/09/2014 - PAYBEN Insurance Services - INV REL - 31411 Camino Capistrano, ste 200, San Juan Capistrano, CA 92675 - DBA for LPL Business (entity for LPL business) - START 09/01/2014 - 200 HOURS PER MONTH, 100 DURING TRADING - separately submitted OBA/DBA for PAYBEN Financial which the same entity as this, but for insurance (state of CA) DBA purposes 4. 10/09/2014 - PAYBEN: Insurance &(and) Financial Services - IVN REL - 31411 Camino Capistrano, ste 200, San juan Capistrano, CA 92675 - DBA for LPL Business (entity for LPL business) - START 10/10/2014 - 160 HOURS PER MONTH, 100 DURING TRADING - it will be with the CA department of Insurance 5. 10/09/2014 - PAYBEN Financial - INV REL - 31411 Camino Capistrano, ste 200 San juan Capistrano ca 92675 - DBA for LPL Business (entity for LPL business) - START 09/01/2014 - 200 HOURS PER MONTH, 100 DURING TRADING 6. 3/13/2020 - Norton program (perviously lifelock) - Investment Related - At Reported Business Location(s) - Other-Corporate Benefit: Identity Theft - Started 02/11/2020 - 1 Hour Per Month/0 Hours During Securities Trading. 7. 02/25/2022 - Assembly Point Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date - 01/25/2022 - 10 Hours Per Month/10 Hours During Securities Trading. 8. 11/14/2024 - spite farm - Real Estate Rental - Investment Related - Lexington, KY - Start Date 10/17/2024 - 0 Hours Per Month/ During Trading

Exams

• S66 Uniform Combined State Law Examination
  2000-07-03
• S63 Uniform Securities Agent State Law Examination
  1998-09-24

Designations

• Certified Financial Planner

Other Names

• Rischi Paul Sharma
• Rischi Paul Sharma, Cfp