Richard George Bassman

LPl Financial LLC

Carmel Valley, CA

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Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2018-12-06

CA RA
APPROVED

Since 2018-12-06

Branch Locations

Carmel Valley, CA • 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
Metlife Securities Inc.	Foster City	CA	01/2015	03/2017
Massachusetts Mutual Life Insurance Company	Springfield	MA	03/2017	11/2018
Mml Investors Services, Llc	San Jose	CA	03/2017	11/2018
Lpl Financial, Llc	Carmel Valley	CA	11/2018	Present

01/2015 → 03/2017

Metlife Securities Inc.

Foster City, CA
03/2017 → 11/2018

Massachusetts Mutual Life Insurance Company

Springfield, MA
03/2017 → 11/2018

Mml Investors Services, Llc

San Jose, CA
11/2018 → Present

Lpl Financial, Llc

Carmel Valley, CA

Previous Registrations

2017-03-25 → 2018-12-11

Mml Investors Services, Llc

San Jose, CA
2015-01-02 → 2017-03-25

Msi Financial Services, Inc.

San Jose, CA

Foster City, CA
2012-08-13 → 2015-01-02

New England Securities

Campbell, CA

Foster City, CA
2003-04-15 → 2012-08-10

Ameriprise Financial Services, Llc

San Jose, CA

Campbell, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-04-14
S63	Uniform Securities Agent State Law Examination	1995-07-24

S66 Uniform Combined State Law Examination

2003-04-14
S63 Uniform Securities Agent State Law Examination

1995-07-24

Designations

View on SEC IAPD

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