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Raphael Joseph Dick

LPl Financial LLC

Mcmurray, PA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2017-06-23
TX RA APPROVED 2017-06-23
  • PA RA
    APPROVED
    Since 2017-06-23
  • TX RA
    APPROVED
    Since 2017-06-23

Branch Locations

Mcmurray, PA • 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
Cco Investment Services Corp Wexford PA 05/2015 05/2017
Lpl Financial Llc Pittsburgh PA 06/2017 Present
  • 05/2015 → 05/2017
    Cco Investment Services Corp
    Wexford, PA
  • 06/2017 → Present
    Lpl Financial Llc
    Pittsburgh, PA
Previous Registrations
  • 2015-07-30 → 2017-06-26
    Citizens Securities, Inc.
    Wexford, PA
    Wexford, PA
    Pittsburgh, PA
    Pittsburgh, PA
    Verona, PA
    Aliquippa, PA
    Monroeville, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-07-30
S63 Uniform Securities Agent State Law Examination 2012-08-10
  • S65 Uniform Investment Adviser Law Examination
    2015-07-30
  • S63 Uniform Securities Agent State Law Examination
    2012-08-10

View on SEC IAPD

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