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Carmen Jean Richards

LPl Financial LLC

Tempe, AZ

Gilbert, AZ

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2026-03-24
  • AZ RA
    APPROVED
    Since 2026-03-24

Branch Locations

500 E. Rio Salado Pkwy Building 4, Floor 3, Tempe, AZ 85281 • United States

Gilbert, AZ • 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
Edward Jones Tempe AZ 06/2015 03/2026
Lpl Financial Llc Tempe AZ 03/2026 08/2026
Osaic Wealth Inc Scottsdale AZ 08/2026 Present
Previous Registrations
  • 2025-01-08 → 2026-03-20
    Edward Jones
    St. Louis, MO
    Gilbert, AZ
    St Louis, MO
    St Louis, MO
    Chandler, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-01-03
  • S66 Uniform Combined State Law Examination
    2025-01-03
Other Names
  • Carmen Galarza
  • Carmen Galarza-Pinder
  • Carmen Richards

View on SEC IAPD

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