Richard Mark Berquist

Current Employers

Employment History

• 01/2014 → Present
  Lpl Financial Llc
  Plymouth, MN
• 01/2014 → Present
  Investors Financial Group
  Plymouth, MN
• 03/2022 → Present
  Private Advisor Group, Llc
  Morristown, NJ

Previous Registrations

• 2014-01-31 → 2022-07-25
  Investors Financial Group
  Plymouth, MN
• 2004-06-07 → 2014-02-10
  Waddell & Reed
  Plymouth, MN
  Plymouth, MN

Other Businesses

1. 1/31/2014 - INVESTORS FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 7/18/2019 - Investors Financial Group, LLC - DBA: (Hybrid) Investors Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 07/11/2019 - 160 Hours Per Month/40 Hours During Securities Trading - I provide investment advisory services through Investors Financial Group, an independent investment advisor firm. I started this business activity on 7/18/2019. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 7/30/2019 - Investors Financial Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/11/2019 - 160 Hours Per Month/8 Hours During Securities Trading. 4. 03/30/2022 - Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid- Start Date - 03/18/2022- 160 Hours Per Month/ 160 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, LLC, an independent investment advisor firm. I started this business activity in 3/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S66 Uniform Combined State Law Examination
  2004-05-21
• S65 Uniform Investment Adviser Law Examination
  2001-06-21
• S63 Uniform Securities Agent State Law Examination
  1996-01-15

Other Names

• Rick Berquist