Richard F Emerson

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
TX	RA	APPROVED_RES	2021-09-10
MA	RA	APPROVED	2011-04-26

TX RA
APPROVED_RES

Since 2021-09-10
MA RA
APPROVED

Since 2011-04-26

Branch Locations

Great Barrington, MA • 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

Organization	City	State	From	To
Emerson Contractors Inc	Pittsfield	MA	01/1988	Present
Lpl Financial Llc	Great Barrington	MA	01/2011	Present

01/1988 → Present

Emerson Contractors Inc

Pittsfield, MA
01/2011 → Present

Lpl Financial Llc

Great Barrington, MA

Other Businesses

(1) 01/31/2011: Emerson Contractors Inc - Business Owner - NOT INV REL - At Reported Business Location(s) - President: overseeing the estimating, bidding and construction of projects - 3% Time Spent

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-04-25

S66 Uniform Combined State Law Examination

2011-04-25

View on SEC IAPD