Ricardo R Dacosta

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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2021-05-06
TX	RA	APPROVED	2021-05-05

NJ RA
APPROVED

Since 2021-05-06
TX RA
APPROVED

Since 2021-05-05

Branch Locations

485 E Rte 1 S, Suite 110, Iselin, NJ 08830 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Foresters Financial Services	Woodbridge	NJ	06/2013	06/2019
Foresters Advisory Services Llc	Woodbridge	NJ	04/2014	06/2019
Cetera Investment Services Llc	Iselin	NJ	06/2019	04/2021
Cetera Investment Advisers Llc	Iselin	NJ	06/2019	04/2021
Lpl Financial, Llc	Iselin	NJ	05/2021	Present

06/2013 → 06/2019

Foresters Financial Services

Woodbridge, NJ
04/2014 → 06/2019

Foresters Advisory Services Llc

Woodbridge, NJ
06/2019 → 04/2021

Cetera Investment Services Llc

Iselin, NJ
06/2019 → 04/2021

Cetera Investment Advisers Llc

Iselin, NJ
05/2021 → Present

Lpl Financial, Llc

Iselin, NJ

Previous Registrations

2019-06-21 → 2021-05-13

Cetera Investment Advisers Llc

Iselin, NJ
2014-04-08 → 2019-06-25

Foresters Advisory Services, Llc

Iselin, NJ

Other Businesses

1)03/2021 - REAL ESTATE RENTAL - R&D REALTY ENTERPRISE CORP - 1HR/MO 0 HRS DURING TRADING - INVESTMENT RELATED - SUMMIT, NJ 07901 2)05/2021 - NON-VARIABLE INSURANCE - AIP - ASSURED INVESTMENT PLANNERS TROY, MI 48085 3)05/2021 - NON-VARIABLE INSURANCE-PROPERTY & CASUALTY - EPIC/EDGEWOOD PARTNERS INSURANCE CENTER/MIDWEST - 3HRS/MO 0HRS DURING TRADING - NEWBURGH, NY 12550 4)05/2021 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - BALMVILLE WEALTH GROUP - INVESTMENT RELATED - ISELIN, NJ 08830 5) 6/15/2021 - Align Wealth Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/12/2021 - 160 Hours Per Month During Securities Trading. 6) 6/15/2021 - Align Wealth Management Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/12/2021 - 40 Hours Per Month During Securities Trading. 7) 6/22/2021 - R & A RE Properties LLC - Investment Related - Summit NJ 07901 - Real Estate Rental - Started 05/12/2021 - 160 Hours Per Month/0 Hours During Securities Trading 8) 10/28/2021 - Life Brokerage LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 09/27/2021 - 10 Hours Per Month/10 Hours During Securities Trading. 9) 12/03/2021 - Summit Enterprise Holdings, LLC - Investment Related - Summit NJ 07901 - Real Estate Rental - Start Date: 11/08/2021 - 10 Hours Per Month/0 Hours During Securities Trading. 10) 05/09/2022 - 3 Parkside LLC - Investment Related - Madison, NJ 07940 - Real Estate Rental - Start Date - 04/29/2022 - 20 Hours Per Month/ 0 Hours During Securities Trading. 11) 02/28/2024 - Level Four - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 01/03/2024 - 1 Hour Per Month/ 1 Hour During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-04-02
S63	Uniform Securities Agent State Law Examination	2009-03-16

S66 Uniform Combined State Law Examination

2014-04-02
S63 Uniform Securities Agent State Law Examination

2009-03-16

Other Names

Ricardo Rolando Dacosta

View on SEC IAPD