Richard Edward Frick

Current Employers

Employment History

• 08/2011 → 05/2018
  Morgan Stanley
  Philadelphia, PA
• 05/2018 → 12/2018
  Unemployed
  Rumson, NJ
• 12/2018 → Present
  Lpl Financial, Llc
  Red Bank, NJ
• 12/2018 → Present
  Gladstone Institutional Advisory Llc (Gladstone Wealth Group)
  Red Bank, NJ
• 03/2026 → Present
  Integrity Alliance Llc
  Naples, FL

Previous Registrations

• 2019-01-08 → 2026-03-27
  Gladstone Wealth Partners
  Red Bank, NJ
  Palm Beach Gardens, FL
  Red Bank, NJ
  Bedminster, NJ
  Naples, FL
• 2011-08-13 → 2018-06-01
  Morgan Stanley
  Philadelphia, PA

Other Businesses

1. 12/21/2018 - GLADSTONE WEALTH GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 2/20/2019 - Gladstone Wealth Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - ADMIN. - 80 Hours Per Month - I provide administrative services through Gladstone Wealth Group, an independent investment advisor firm. I started this business activity on 2/20/2019. I expect to spend approximately 80 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. 3. 3/24/2020 - REF Wealth Management - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/01/2020 - 1 Hour Per Month/0 Hours During Securities Trading. 4. 11/2/2020 - Gladstone Capital Markets - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/01/2020 - 0 Hours Per Month. 5. 11/2/2020 - Gladstone Wealth Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/01/2020 - 0 Hours Per Month. 6. 11/18/2020 - GWP Holdings LLC - Not Investment Related - Business Entity For Tax/Investment Purposes Only - Entity for Gladstone companies. 7. 05/11/2023 - Gladstone Aggregator, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 5/01/2023 - 1 Hours Per Month 8. 07/10/2023 - HBFM LLC - Not Investment Related - Bahamas - Other - Reps Business - Partner - Start Date 03/01/2023 - 1 Hour Per Month/ 0 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-06-18
• S63 Uniform Securities Agent State Law Examination
  1995-09-12

Other Names

• Rick Frick