Richard Andrew Gilles

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

• 03/2012 → 11/2016
  Wells Fargo Advisors
  Charlotte, NC
• 11/2016 → 06/2025
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
• 06/2025 → Present
  Lpl Financial Llc
  Rock Hill, SC

Previous Registrations

• 2012-03-01 → 2025-07-02
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
• 2009-06-01 → 2012-03-05
  Morgan Stanley
  Charlotte, NC
  Charlotte, NC
• 2006-02-21 → 2009-06-01
  Citigroup Global Markets Inc.
  Charlotte, NC
  New York, NY
• 2004-01-26 → 2006-02-21
  Legg Mason Wood Walker, Incorporated
  Charlotte-South Park, NC

Other Businesses

1 - 06/2025 - Peak Investment Advisors - DBA for LPL Business (entity for LPL business) - Inv Related - 40 Hours/Month - 6.5 Hours During Trading - At reported business location(s). 2 - 06/2025 - Gilles Wealth Management LLC - Business Entity For Tax/Investment Purposes Only - Not Inv Related - 160 Hours/Month - 6.5 Hours During Trading - Rock Hill, SC - OBA Start Date: 06/27/2025.

Exams

• S66 Uniform Combined State Law Examination
  2004-01-23