Richard Joseph Tartarini

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

• 03/2016 → 04/2021
  Voya Financial Advisors
  Woburn, MA
• 04/2021 → 09/2023
  Sagepoint Financial, Inc.
  Woburn, MA
• 09/2023 → 12/2023
  Osaic Wealth, Inc.
  Lynnfield, MA
• 12/2023 → Present
  Legacy Financial Advisors
  Lynnfield, MA
• 12/2023 → Present
  Lpl Financial
  Lynnfield, MA

Previous Registrations

• 2023-09-01 → 2023-12-12
  Osaic Wealth, Inc.
  Lynnfield, MA
• 2021-04-22 → 2023-09-01
  Osaic Services, Inc.
  Lynnfield, MA
  Woburn, MA
  Westborough, MA
  Lynnfield, MA
• 2016-04-20 → 2021-04-26
  Voya Financial Advisors, Inc.
  Danvers, MA
  Woburn, MA
• 2006-03-06 → 2016-03-22
  Lpl Financial Llc
  Woburn, MA
• 1999-11-12 → 2004-06-11
  Citigroup Global Markets Inc.
  Boston, MA

Other Businesses

1) 12/07/2023- Madison Brokerage Insurance - Non-Variable Insurance - Inv Rel - Morristown, NJ - Start: 01/2022 - 4 Hrs/Mth - 1 Hrs During Trading. 2) 04/22/2025 - Tartarini Financial Services - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date: 04/17/2025 - 200 Hrs/Mth - 6 Hrs During Trading. 3) 08/11/2025 - Vanbridge - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date:07/25/2025 - 4 Hrs/Mth - 1 Hrs During Trading. 4) 01/21/2026 - wealthbyDickieTarts - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 12/18/2025 - 2 hours per month/ 0 hours during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-01-09
• S63 Uniform Securities Agent State Law Examination
  1995-12-15