Richard Dale Winn

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

• 11/2007 → Present
  Lpl Financial, Llc
  Shelby, NC

Previous Registrations

• 2006-10-24 → 2007-11-28
  New England Securities
  Shelby, NC
  Charleston, SC

Other Businesses

1. 11/16/2007: NO BUSINESS NAME - NOT INV REL - COMMUNITY, CIVIC AND CHARITABLE BOARD - AD BOARD MEMBER WITH SOUTH MOUNTAIN CHILDREN AND FAMILY SERVICES. 2. 7/2/2015: WINN FINANCIAL SERVICES - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) - START 07/06/2015 - 1 HR/MO ALL DURING SECS TRDG HRS.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-09-25
• S63 Uniform Securities Agent State Law Examination
  2002-08-08

Other Names

• Dale Winn