Wendy Joan Richardson

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

• 01/2009 → Present
  Premier Business Services Pc
  East Lyme, CT
• 09/2015 → 07/2020
  Investacorp Advisory Services, Inc.
  Miami, FL
• 07/2020 → 05/2023
  Securities America Advisors, Inc.
  La Vista, NE
• 05/2023 → 07/2025
  Cadaret, Grant & Co., Inc.
  Glastonbury, CT
• 07/2025 → Present
  Lpl Financial Llc
  East Lyme, CT

Previous Registrations

• 2023-05-05 → 2025-07-10
  Cadaret, Grant & Co., Inc.
  Glastonbury, CT
  Syracuse, NY
  Syracuse, NY
• 2020-07-17 → 2023-05-09
  Securities America Advisors, Inc.
  La Vista, NE
• 2015-09-25 → 2020-07-17
  Investacorp Advisory Services Inc
  Glastonbury, CT
• 2012-11-12 → 2015-09-02
  Invest Financial Corporation
  Glastonbury, CT

Other Businesses

1) Premier CPAs, 50% owner, CPA/tax preparation, January 2009 to present, 160 hours per month, 140 hours during trading, salary/profit participation, all duties and all powers; 2) Extreme Profit LLC, 50% owner, rental property, April 2006 to present, 2 hours per month, 2 hours during trading hours, self rental to CPA firm.

Exams

• S65 Uniform Investment Adviser Law Examination
  2012-11-10

Other Names

• Wendy Richardson
• Wendy Joan Richardson