Richard Brian Wolf

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

• 05/2006 → 12/2017
  Prudential Insurance Co Of America
  Shelton, CT
• 05/2006 → 12/2017
  Ast Investment Services
  Shelton, CT
• 11/2007 → 12/2017
  Prudential Annuities Distributors, Inc.
  Shelton, CT
• 01/2018 → 05/2021
  Infinex Investments, Inc.
  Meriden, CT
• 01/2018 → 05/2021
  Newtown Savings Bank
  Monroe, CT
• 06/2021 → 10/2021
  Unemployed
  Trumbull, CT
• 10/2021 → 04/2022
  Woodbury Financial Services Inc
  Farifield, CT
• 04/2022 → Present
  Lpl Financial Llc
  Fairfield, CT

Previous Registrations

• 2021-10-08 → 2022-04-26
  Woodbury Financial Services, Inc.
  Fairfield, CT
• 2018-01-03 → 2021-06-08
  Osaic Institutions, Inc.
  Monroe, CT
  Meriden, CT
  Monroe, CT
  Trumbull, CT
  Oxford, CT
• 2006-05-12 → 2018-01-05
  Ast Investment Services, Inc.
  Shelton, CT
• 2006-02-27 → 2006-04-05
  Cuna Brokerage Services, Inc.
  Danbury, CT
  Danbury, CT

Other Businesses

1)04/18/2022 - Tailored Cents - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 04/2022 - 160 Hr/Mth 2)04/18/2022 - Tashua Fathers Club - Non-Profit Board Member - Non-Inv Rel - Trumbull, CT - Start: 09/2015 3)04/18/2022 - Trumbull United Soccer Club - Non-Profit Board Member - Non-Inv Rel - Trumbull, CT - Start: 09/2018 4)04/18/2022 - Trumbull AYSO Soccer - Non-Profit Board Member - Non-Inv Rel - Trumbull, CT - Start: 09/2014 5) 02/02/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Broker - Start Date: 02/01/2023 - 4 Hours Per month/1 Hour During Securities Trading. 6) 12/12/2024 - Non-Variable Insurance - Insurance Broker - Investment Related - At Reported Business Location(s) - Start Date 12/23/2024 - 4 hours per month/ during trading 6) 12/08/2025-Wolf Point Wealth Management-DBA for LPL Business (entity for LPL business)-Inv Related-At reported business location(s)-Start date 11/25/2025-120hrs/mth-8hrs/mth during trading

Exams

• S66 Uniform Combined State Law Examination
  2006-02-25
• S63 Uniform Securities Agent State Law Examination
  2000-12-11

Other Names

• Rich Brian Wolf