Adam Jason Rick

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
WI	RA	APPROVED	2015-11-14

WI RA
APPROVED

Since 2015-11-14

Branch Locations

7044 S Ballpark Dr Ste 303, Franklin, WI 53132 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Franklin	WI	10/2015	Present
Commerce State Bank	Elm Grove	WI	10/2015	05/2020

10/2015 → Present

Lpl Financial, Llc

Franklin, WI
10/2015 → 05/2020

Commerce State Bank

Elm Grove, WI

Previous Registrations

2009-01-14 → 2015-10-28

Rbc Capital Markets, Llc

Milwaukee, WI

Other Businesses

1. 10/13/2020 - RPM Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/30/2020.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-01-30

S66 Uniform Combined State Law Examination

2004-01-30

View on SEC IAPD