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Richard Edward Duarte

LPl Financial LLC

Rohnert Park, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2000-09-07
  • CA RA
    APPROVED
    Since 2000-09-07

Branch Locations

6020 Commerce Blvd. #121, Rohnert Park, CA 94928 • 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
Linsco/Private Ledger Corp. Rohnert Park CA 04/1994 Present
  • 04/1994 → Present
    Linsco/Private Ledger Corp.
    Rohnert Park, CA
Other Businesses

1. 4/25/2002 - NON-VARIABLE INSURANCE DBA - CRUMBLEY FINANCIAL SERVICES - OUTSIDE INDEPENDENT INSURANCE SALES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-08-31
S63 Uniform Securities Agent State Law Examination 1994-05-04
  • S65 Uniform Investment Adviser Law Examination
    2000-08-31
  • S63 Uniform Securities Agent State Law Examination
    1994-05-04
Other Names
  • Rick Duarte

View on SEC IAPD

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Other Investors

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KEITH LAWSON GARLOCK
Celena Andrea Narez Helm
William Ospina-Torres
George A Hoang
Jason Turner
MATTHEW Willis RICHARDSON
KENNETH JURGEN WEISE

Other Offices

EDWARD JONES · ROHNERT PARK, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Rohnert Park, CA
LPL FINANCIAL LLC · ROHNERT PARK, CA
J.P. MORGAN SECURITIES LLC · ROHNERT PARK, CA
LPL FINANCIAL LLC · ROHNERT PARK, CA
PRIVATE ADVISOR GROUP, LLC · Rohnert Park, CA
NORTHBAY ADVISORS · ROHNERT PARK, CA
EDWARD JONES · ROHNERT PARK, CA

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