Richard Delbert Newcomb

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
GA	RA	APPROVED	2025-10-21
TX	RA	APPROVED	2025-10-20

GA RA
APPROVED

Since 2025-10-21
TX RA
APPROVED

Since 2025-10-20

Branch Locations

5755 Northpoint Pkwy Ste 64, Alpharetta, GA 30022 • 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

Organization	City	State	From	To
Ups	Atlanta	GA	02/1993	06/2018
Edward Jones	St Louis	MO	07/2018	10/2025
Lpl Financial Llc	Alpharetta	GA	10/2025	Present

02/1993 → 06/2018

Ups

Atlanta, GA
07/2018 → 10/2025

Edward Jones

St Louis, MO
10/2025 → Present

Lpl Financial Llc

Alpharetta, GA

Previous Registrations

2018-10-11 → 2025-10-21

Edward Jones

Cumming, GA

St Louis, MO

Cumming, GA

Cumming, GA

Alpharetta, GA

Other Businesses

1. 08/2025 - Crossroads Private Wealth Management, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - 0 Hour(s)/Month - 0 Hour(s) During Trading - At Reported Business Location (s) - OBA Start Date: 10/20/2025

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-10-10
S63	Uniform Securities Agent State Law Examination	2006-05-01

S66 Uniform Combined State Law Examination

2018-10-10
S63 Uniform Securities Agent State Law Examination

2006-05-01

Other Names

Richard Newcomb
Rich Delbert Newcomb
Richard D Newcomb

View on SEC IAPD