Richard Anthony Behan

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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
MI	RA	APPROVED	2020-11-03
IL	RA	APPROVED	2019-11-18
TX	RA	APPROVED_RES	2019-11-07

MI RA
APPROVED

Since 2020-11-03
IL RA
APPROVED

Since 2019-11-18
TX RA
APPROVED_RES

Since 2019-11-07

Branch Locations

630 Schneider Dr., South Elgin, IL 60177 • United States

Augusta, MI • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Fsc Securities Corporation	Carol Stream	IL	09/1993	11/2019
Behan And Company Ltd	West Chicago	IL	04/1998	Present
Nordic Auto Plow Llc	West Chicago	IL	10/2011	Present
Lpl Financial Llc	West Chicago	IL	11/2019	Present

09/1993 → 11/2019

Fsc Securities Corporation

Carol Stream, IL
04/1998 → Present

Behan And Company Ltd

West Chicago, IL
10/2011 → Present

Nordic Auto Plow Llc

West Chicago, IL
11/2019 → Present

Lpl Financial Llc

West Chicago, IL

Previous Registrations

1997-10-19 → 2019-11-11

Fsc Securities Corporation

Carol Stream, IL

Chicago, IL

West Chicago, IL

Other Businesses

1) 12/15/2020 - Eastfork Ranch LTD - Not Investment Related - Augusta, MI - Other-Equestrian Related Business - Vice President - Start Date: 7/1/2020 - 4 Hours Per Month/0 Hours During Securities Trading. 2) 09/12/2023 - Real Estate Rental - Investment Related - Augusta, MI - Real Estate Rental - Start Date 09/15/2023 - 1 Hours Per Month 0 Hours During Trading 3) 07/09/2026 - NORTH AVENUE BUILDING, INC - Real Estate Rental - Investment Related - Augusta, MI - Real Estate Rental - Start Date 01/01/2012 - 4 Hours Per Month/ 1 Hour During Trading 4) 07/09/2026 - BEHAN AND COMPANY, LTD - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - Start Date 06/01/1982 - 40 hours per month/ 2 hours during trading 5) 07/09/2026 - NORDIC AUTO PLOW LLC - Business Owner - Not Investment Related - South Elgin, IL - Start Date 10/01/2011 - 20 hours per month/ 2 hours during trading 6) 07/20/2026 - RICHARD BEHAN - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 09/01/1993 - 10 hours per month/ 1 hour during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-10-02
S63	Uniform Securities Agent State Law Examination	1993-02-11

S65 Uniform Investment Adviser Law Examination

1997-10-02
S63 Uniform Securities Agent State Law Examination

1993-02-11

Other Names

Richard Anthony Behan
Richard Anthony Behan

View on SEC IAPD