Richard Quigley

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
MA	RA	APPROVED	2010-11-30
TX	RA	APPROVED	2010-11-30

MA RA
APPROVED

Since 2010-11-30
TX RA
APPROVED

Since 2010-11-30

Branch Locations

Hingham, MA • 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
Lpl Financial Llc	Boston	MA	11/2010	Present
Lpl Financial Corporation	Boston	MA	11/2010	Present

11/2010 → Present

Lpl Financial Llc

Boston, MA
11/2010 → Present

Lpl Financial Corporation

Boston, MA

Previous Registrations

2009-09-02 → 2010-11-30

Nrp Advisors, Inc.

Bryan, OH

Boston, MA
2009-04-06 → 2009-09-11

Investors Capital Corp.

Lynnfield, MA

Boston, MA

Other Businesses

1. 10/14/2015 - Richard Quigley,CEBS,AIF, Investment Advisor - INV REL - 119 HMS Stayner Drive, Hingham,MA. 02043 - DBA for LPL Business (entity for LPL business) - START 08/15/2015 - 160 HOURS PER MONTH, 30 DURING TRADING - Service provided to Retirement Plan Clients both Group and Individual in both a Advisory and Brokerage capacity as well as several 529 Plans.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-03-31
S63	Uniform Securities Agent State Law Examination	2003-01-23

S65 Uniform Investment Adviser Law Examination

2009-03-31
S63 Uniform Securities Agent State Law Examination

2003-01-23

Other Names

Rich Quigley

View on SEC IAPD