Jennifer L Ricca

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → 08/2019
  Morgan Stanley Smith Barney
  Las Vegas, NV
• 08/2019 → 09/2021
  Wells Fargo Clearing Services, Llc
  Las Vegas, NV
• 10/2021 → Present
  Lpl Financial, Llc
  Las Vegas, NV

Previous Registrations

• 2019-08-09 → 2021-10-27
  Wells Fargo Clearing Services, Llc
  Las Vegas, NV
• 2012-03-27 → 2019-08-12
  Morgan Stanley
  Las Vegas, NV
  Las Vegas, NV

Other Businesses

1. 04/01/2018 - THE LAWRENCE J RICCA II AND JENNIFER LYN REVOCABLE LIVING TRUST/ REAL ESTATE RENTAL/ INVESTMENT RELATED/ 0%/ 992 PRESTWICK ST, LAS VEGAS, NV 89145 2. 01/01/2006 - JENNIFER RICCA AND LAWRENCE J RICCA II/ REAL ESTATE RENTAL/ INVESTMENT RELATED/ 0%/ 330 W MAULE AVE #229, LAS VEGAS, NV 89148 & 9580 W RENO AVE #255, LAS VEGAS, NV 89148 3. 02/05/2024 - Orion Capital - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/26/2023 - 160 Hours Per Month/ 8 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-02-04
• S63 Uniform Securities Agent State Law Examination
  1999-09-27

Other Names

• Jennifer Lynne Winey
• Jennifer Lynne Smith
• Jennifer L Smith
• Jennifer Lynne Smith
• Jennifer Lynne Ricca