Richard Frank Martino

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
TX	RA	APPROVED	2022-06-14
NY	RA	APPROVED	2021-03-15

TX RA
APPROVED

Since 2022-06-14
NY RA
APPROVED

Since 2021-03-15

Branch Locations

Ballston Spa, NY • 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

Organization	City	State	From	To
Goldman Sachs & Co. Llc	Cohoes	NY	01/2021	02/2021
Lpl Financial Llc	Saratoga Springs	NY	02/2021	Present
The Ayco Company, L.P./Mercer Allied	Latham	NY	06/1998	01/2021

01/2021 → 02/2021

Goldman Sachs & Co. Llc

Cohoes, NY
02/2021 → Present

Lpl Financial Llc

Saratoga Springs, NY
06/1998 → 01/2021

The Ayco Company, L.P./Mercer Allied

Latham, NY

Other Businesses

1)02/08/2021 - Martino Wealth Management Group - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 01/2021

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-03-13
S63	Uniform Securities Agent State Law Examination	1999-03-30

S65 Uniform Investment Adviser Law Examination

2021-03-13
S63 Uniform Securities Agent State Law Examination

1999-03-30

View on SEC IAPD