John James Ricker

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
VT	RA	APPROVED	2023-06-20
TX	RA	APPROVED_RES	2021-04-07
DE	RA	APPROVED	2018-02-14
NJ	RA	APPROVED	2018-02-14
PA	RA	APPROVED	2018-02-14
WA	RA	APPROVED	2018-02-14
VI	RA	APPROVED	2018-02-14

VT RA
APPROVED

Since 2023-06-20
TX RA
APPROVED_RES

Since 2021-04-07
DE RA
APPROVED

Since 2018-02-14
NJ RA
APPROVED

Since 2018-02-14
PA RA
APPROVED

Since 2018-02-14
WA RA
APPROVED

Since 2018-02-14
VI RA
APPROVED

Since 2018-02-14

Branch Locations

1365 Nj-35, Middletown, NJ 07748 • United States

73 Mountainview Blvd, Basking Ridge, NJ 07920 • United States

1342 Centennial Avenue, Piscataway, NJ 08854 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Affinity Fcu	Piscataway	NJ	11/2015	Present
Invest Financial Corp.	Tampa	FL	11/2015	02/2018
Lpl Financial Llc	Middletown	NJ	02/2018	Present

11/2015 → Present

Affinity Fcu

Piscataway, NJ
11/2015 → 02/2018

Invest Financial Corp.

Tampa, FL
02/2018 → Present

Lpl Financial Llc

Middletown, NJ

Previous Registrations

2015-11-11 → 2018-02-20

Invest Financial Corporation

Piscataway, NJ

Middletown, NJ

Basking Ridge, NJ

Appleton, WI
2014-01-02 → 2015-11-03

Santander Securities Llc

Long Branch, NJ

Boston, MA

Toms River, NJ

Keyport, NJ

Holmdel, NJ

Short Hills, NJ

Aberdeen, NJ

Toms River, NJ

Other Businesses

1. 02/14/2018 - Affinity Investment Services. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-12-23
S63	Uniform Securities Agent State Law Examination	2012-08-10

S65 Uniform Investment Adviser Law Examination

2013-12-23
S63 Uniform Securities Agent State Law Examination

2012-08-10

Other Names

Jack Ricker
John James Ricker
John James Ricker
John James Ricker

View on SEC IAPD