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Richard Frank Wallner

LPl Financial LLC

Salem, NH

Portsmouth, NH

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-09-06
MA RA APPROVED 2022-05-18
NH RA APPROVED 2022-05-18
  • TX RA
    APPROVED
    Since 2023-09-06
  • MA RA
    APPROVED
    Since 2022-05-18
  • NH RA
    APPROVED
    Since 2022-05-18

Branch Locations

158 N Broadway, Salem, NH 03079 • United States

2032 Lafayette Road, Portsmouth, NH 03801 • 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
New York Life Insurance Company Waltham MA 01/2009 04/2018
Nylife Securities Llc Waltham MA 03/2009 04/2018
Lakeside Financial, Llc North Reading MA 10/2013 01/2018
Taylor Wealth Management Partners Boston MA 01/2018 12/2019
Cuna Brokerage Services, Inc. Waverly IA 04/2020 05/2022
Unemployed North Reading MA 01/2020 03/2020
Lpl Financial Llc Salem NH 05/2022 Present
  • 01/2009 → 04/2018
    New York Life Insurance Company
    Waltham, MA
  • 03/2009 → 04/2018
    Nylife Securities Llc
    Waltham, MA
  • 10/2013 → 01/2018
    Lakeside Financial, Llc
    North Reading, MA
  • 01/2018 → 12/2019
    Taylor Wealth Management Partners
    Boston, MA
  • 04/2020 → 05/2022
    Cuna Brokerage Services, Inc.
    Waverly, IA
  • 01/2020 → 03/2020
    Unemployed
    North Reading, MA
  • 05/2022 → Present
    Lpl Financial Llc
    Salem, NH
Previous Registrations
  • 2020-05-01 → 2022-05-18
    Cuna Brokerage Services, Inc.
    Portsmouth, NH
    Salem, NH
  • 2018-11-02 → 2020-05-12
    Taylor Wealth Management Partners
    Cambridge, MA
Other Businesses

1) 05/18/2022 - Service Financial Group- Investment Related- At Reported Business Location(s)- DBA for LPL Business (entity for LPL business)

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2009-09-17
  • S63 Uniform Securities Agent State Law Examination
    2009-09-17
Designations
Other Names
  • Richard F Wallner

View on SEC IAPD

Other Firms

SANTANDER SECURITIES LLC
EDWARD JONES
CITIZENS SECURITIES, INC.
ONESEVEN
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
OSAIC INSTITUTIONS, INC.

Other Investors

Naim Cukovic
Alla Cootey
Melissa J Remillard
Colin March
Sumeet Malhotra
Thomas Griffin
Randy Edward Ball
Andrew K Morehouse

Other Offices

SANTANDER SECURITIES LLC · Salem, NH
EDWARD JONES · SALEM, NH
CITIZENS SECURITIES, INC. · SALEM, NH
ONESEVEN · Salem, NH
AMERIPRISE FINANCIAL SERVICES, LLC · Salem, NH
LPL FINANCIAL LLC · SALEM, NH
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SALEM, NH
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Salem, NH

More in Salem, NH

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