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Richard Joseph Hartke

LPl Enterprise, LLC

Champaign, IL

Effingham, IL

CRD 4065862

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Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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 Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-11-14
TX RA APPROVED_RES 2024-11-14
  • IL RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2024-11-14

Branch Locations

2305 Village Green Pl Suite A, Champaign, IL 61822 • United States

210 S Second Street Suite A, Effingham, IL 62401 • 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
Pruco Securities, Llc. Champaign IL 10/1999 11/2024
Prudential Insurance Company Of America Champaign IL 10/1999 Present
Lpl Enterprise, Llc Champaign IL 11/2024 Present
Previous Registrations
  • 2001-10-05 → 2024-11-14
    Effingham, IL
    Champaign, IL
    Effingham, IL
    Effingham, IL
    Champaign, IL
Other Businesses

1) 10/28/2024 - Hartke Holdings - This is my office that I rent from my own LLC, and I have renter that also rent space from my LLC - Real Estate Rental - Inv Related - At Champaign, IL - Start Date 09/01/2015 - 1hrs/mth - 1hrs/mth During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-07-25
S63 Uniform Securities Agent State Law Examination 1999-11-12
  • S65 Uniform Investment Adviser Law Examination
    2001-07-25
  • S63 Uniform Securities Agent State Law Examination
    1999-11-12
Other Names
  • Rich J Hartke
  • Richard J Hartke

View on SEC IAPD

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