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Richard Alan Marshall

LPl Financial LLC

Edmond, OK

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-03-08
OK RA APPROVED 2009-05-02
  • TX RA
    APPROVED_RES
    Since 2018-03-08
  • OK RA
    APPROVED
    Since 2009-05-02

Branch Locations

15310 N May Ave Ste 101, Edmond, OK 73013-8864 • 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
OrganizationCityStateFromTo
Lpl Financial Llc Edmond OK 05/2009 Present
Previous Registrations
  • 2004-06-29 → 2009-05-05
    Banc Of America Investment Services, Inc.
    Oklahoma City, OK
    Oklahoma City, OK
    Oklahoma City, OK
  • 2001-04-18 → 2004-06-29
    Morgan Stanley Dw Inc.
    Edmond, OK
Other Businesses

1. 5/1/09 - DBA-RICK MARSHALL WEALTH MANAGEMENT GROUP, LLC

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-21
S63 Uniform Securities Agent State Law Examination 2000-06-28
  • S65 Uniform Investment Adviser Law Examination
    2001-02-21
  • S63 Uniform Securities Agent State Law Examination
    2000-06-28

View on SEC IAPD

Other Firms

WELLS FARGO CLEARING SERVICES, LLC
EDWARD JONES
CETERA INVESTMENT ADVISERS LLC
EQUITABLE ADVISORS, LLC
ESOTERIC WEALTH PARTNERS LLC
OSAIC WEALTH, INC.
INDEPENDENT FINANCIAL PARTNERS
RULICENT

Other Investors

CHRISTI E DENNIS
KARIM ELIAS KARIM
WILLIAM THOMAS BISHOP
LORI ANN WINFIELD
JEFFRY NEAL CAREL
LAURIE ANN BROWN
LINDA CHRISTINE WILMOTH
JORDAN ANDERSON

Other Offices

WELLS FARGO CLEARING SERVICES, LLC · EDMOND, OK
EDWARD JONES · Edmond, OK
CETERA INVESTMENT ADVISERS LLC · EDMOND, OK
EQUITABLE ADVISORS, LLC · EDMOND, OK
ESOTERIC WEALTH PARTNERS LLC · EDMOND, OK
OSAIC WEALTH, INC. · Edmond, OK
INDEPENDENT FINANCIAL PARTNERS · Edmond, OK
EDWARD JONES · Edmond, OK

More in Edmond, OK

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