Christopher Frank Rich

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-11-19
TX	RA	APPROVED	2024-11-18

FL RA
APPROVED

Since 2024-11-19
TX RA
APPROVED

Since 2024-11-18

Branch Locations

Tampa, FL • United States

3030 N Rocky Point Drive W Ste 150, Tampa, FL 33607 • 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
Securities America, Inc.	Tampa	FL	07/2008	06/2024
Securities America Advisors, Inc.	Tampa	FL	07/2008	06/2024
Osaic Wealth, Inc.	Tampa	FL	06/2024	11/2024
Osaic Wealth, Inc.	Tampa	FL	06/2024	11/2024
Lpl Financial	Tampa	FL	11/2024	Present

07/2008 → 06/2024

Securities America, Inc.

Tampa, FL
07/2008 → 06/2024

Securities America Advisors, Inc.

Tampa, FL
06/2024 → 11/2024

Osaic Wealth, Inc.

Tampa, FL
06/2024 → 11/2024

Osaic Wealth, Inc.

Tampa, FL
11/2024 → Present

Lpl Financial

Tampa, FL

Previous Registrations

2024-06-14 → 2024-11-20

Osaic Wealth, Inc.

Tampa, FL

Tampa, FL
2008-07-03 → 2024-06-14

Securities America Advisors, Inc.

Tampa, FL
2005-03-03 → 2008-07-09

Osaic Wealth, Inc.

Tampa, FL

Tampa, FL

Other Businesses

1. 11/06/2024- Prestige Wealth Group- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s)- Start Date 11/18/2024 2. 11/06/2024- Prestige Wealth Group- Non-Variable Insurance- FL 33626- 1 Hr Per Mnth- 1 Hr During Trading- Start Date 11/18/2024

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-05-05
S63	Uniform Securities Agent State Law Examination	1994-08-20

S66 Uniform Combined State Law Examination

2003-05-05
S63 Uniform Securities Agent State Law Examination

1994-08-20

Other Names

Chris Rich

View on SEC IAPD