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Richard Anthony Diregolo

LPl Financial LLC

San Mateo, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-03-15
CA RA APPROVED 2020-08-19
  • TX RA
    APPROVED_RES
    Since 2022-03-15
  • CA RA
    APPROVED
    Since 2020-08-19

Branch Locations

1510 Fashion Island Blvd Ste 380, San Mateo, CA 94404 • 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
OrganizationCityStateFromTo
Minnesota Life Ins Co St Paul MN 07/2007 08/2020
Sgc Financial & Insurance Svcs Rancho Cordova CA 07/2007 08/2020
Securian Financial Services, Inc St Paul MN 07/2007 08/2020
Lpl Financial Llc Foster City CA 08/2020 Present
  • 07/2007 → 08/2020
    Minnesota Life Ins Co
    St Paul, MN
  • 07/2007 → 08/2020
    Sgc Financial & Insurance Svcs
    Rancho Cordova, CA
  • 07/2007 → 08/2020
    Securian Financial Services, Inc
    St Paul, MN
  • 08/2020 → Present
    Foster City, CA
Previous Registrations
  • 2007-10-09 → 2020-09-04
    Securian Financial Services, Inc.
    San Mateo, CA
    Sacramento, CA
Other Businesses

1. 8/19/2020 - SGC Financial & Insurance Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/19/2020 - 0 Hrs/Mth - 0 Hrs During Trading. 2. 03/22/2022 - SageCrest Wealth Management- Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/21/2022 - 160 Hours Per Month/40 Hours During Securities. 3. 05/13/22 - Crump, McQueen Insurance Services, and Advisor Resource LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date - 04/27/2022 - 4 Hours Per Month/1 Hours During Securities Trading. 4. 06/27/2025 - A DiRegolo Advisory Group Inc. - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started :06/03/2025- 1 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-01
  • S66 Uniform Combined State Law Examination
    2007-10-01
Other Names
  • Richard Anthony Diregolo

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