David Michael Richter

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

• 03/2026 → 05/2026
  Retired
  Mountain Home, AR
• 04/2015 → 03/2026
  Greatbanc Trust Company
  Lisle, IL
• 05/2026 → Present
  Upstream Investment Partners
  Mountain Home, AR
• 05/2026 → Present
  Lpl Financial
  Mountain Home, AR

Other Businesses

1. 05/2026 - Upstream Investment Partners - DBA for LPL Business (entity for LPL business) - Inv Related – 160 Hour(s)/Month – 160 Hour(s) During Trading – At Reported business location(s) – OBA Start Date: 5/5/2026

Exams

• S66 Uniform Combined State Law Examination
  2026-06-22
• S63 Uniform Securities Agent State Law Examination
  1992-03-13