Richard Jude Auteri

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
NJ	RA	APPROVED	2021-09-13

NJ RA
APPROVED

Since 2021-09-13

Branch Locations

485 E Rte 1 S, Suite 110, Iselin, NJ 08830 • 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
Foresters Financial Services	Iselin	NJ	04/2015	12/2016
Foresters Advisory Services Llc	Iselin	NJ	04/2015	06/2019
Foresters Financial Services	Iselin	NJ	12/2016	06/2019
Cetera Investment Services Llc	St Cloud	MN	06/2019	09/2021
Cetera Investment Advisers Llc	Iselin	NJ	06/2019	09/2021
Lpl Financial, Llc	Iselin	NJ	09/2021	Present

04/2015 → 12/2016

Foresters Financial Services

Iselin, NJ
04/2015 → 06/2019

Foresters Advisory Services Llc

Iselin, NJ
12/2016 → 06/2019

Foresters Financial Services

Iselin, NJ
06/2019 → 09/2021

Cetera Investment Services Llc

St Cloud, MN
06/2019 → 09/2021

Cetera Investment Advisers Llc

Iselin, NJ
09/2021 → Present

Lpl Financial, Llc

Iselin, NJ

Previous Registrations

2019-06-21 → 2021-09-07

Cetera Investment Advisers Llc

Iselin, NJ
2015-05-18 → 2019-06-24

Foresters Advisory Services, Llc

Iselin, NJ

Other Businesses

1) 9/2021 - DBA for LPL Business (entity for LPL business) - Align Wealth Management Group - Investment Related - Iselin, NJ 08830 2) 2011 - Non-Variable Insurance - Balmville Wealth Group - Investment Related - Iselin, NJ 08830 3) 9/2021 - DBA for LPL Business (entity for LPL business) - Balmville Wealth Group - Investment Related - Iselin, NJ 08830 4) 9/2021 - DBA for LPL Business (entity for LPL business) - Align Wealth Group - Investment Related - Iselin, NJ 08830 5) 10/21/2021 - Life Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent/Producer - Start Date: 10/04/2021 - 5 Hours Per Month/5 Hours During Securities Trading. 6) 07/31/2023 - Vanbridge - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 07/20/2023 - 10 Hours Per Month/ 10 Hours During Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-04-17
S63	Uniform Securities Agent State Law Examination	2013-04-17

S65 Uniform Investment Adviser Law Examination

2015-04-17
S63 Uniform Securities Agent State Law Examination

2013-04-17

Other Names

Rick Jude Auteri

View on SEC IAPD