Rick Betancourt

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

• 07/2014 → 08/2020
  Royal Alliance
  Long Beach, NY
• 08/2020 → Present
  Lpl Financial Llc
  Long Beach, NY

Previous Registrations

• 2016-06-17 → 2020-08-12
  Osaic Wealth, Inc.
  Scottsdale, AZ
  Long Beach, NY
  Southampton, NY

Other Businesses

1. 8/10/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 7/18/2014 - 5 Hours Per Month During Securities Trading - Selling Life, accident, health. 2. 12/18/2023 - Encompass Financial Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 4/14/2021 - 2 Hrs/Mo; 1 Hr During Trading. 3. 10/10/2024 - Other - Music Producer - Not Investment Related - Home Based - Start Date 07/26/2024 - 5 Hours Per Month/ During Trading 4.05/29/2025 - Walnut Beech Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 4/14/2021 - 5 Hours Per Month/2 Hour During Securities Trading. 5) 08/15/2025 - Clark & Betancourt, Inc. - Investment Related - Beach, NY - Tax Prep/Accounting/CPA - Start Date:08/24/2022 - 40 Hrs/Mth - 1 Hrs During Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2012-10-05
• S63 Uniform Securities Agent State Law Examination
  2007-10-22

Other Names

• Rick Betancourt
• Ricardo Felipe Betancourt