Richard Douglas Briner

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
OH	RA	APPROVED	2006-04-17

OH RA
APPROVED

Since 2006-04-17

Branch Locations

480 W Dussel Dr Ste 145, Maumee, OH 43537-1416 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Maumee	OH	04/2006	Present

04/2006 → Present

Lpl Financial Llc

Maumee, OH

Previous Registrations

2000-01-01 → 2006-04-18

Osaic Fa, Inc.

Toledo, OH

Toledo, OH

Other Businesses

1. 03/14/2019 - Diamond Maumee, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 02/01/2019 - 0 Hours Per Month. 2. 11/03/2025 - Toledo Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 01/01/1995 - 0 hours per month/ during trading 3. 12/11/2025 - Briner Financial, LLC - -Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 01/01/2026 - 0 hours per month/ during trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2001-02-02

S63 Uniform Securities Agent State Law Examination

2001-02-02

Other Names

Rick Briner

View on SEC IAPD