Alfred Carl Rich

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	2022-08-15
FL	RA	APPROVED	2021-05-18

TX RA
APPROVED

Since 2022-08-15
FL RA
APPROVED

Since 2021-05-18

Branch Locations

Cape Coral, FL • 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
Wells Fargo Advisors, Llc	Fort Myers	FL	09/2014	11/2016
Wells Fargo Clearing Services, Llc	Fort Myers	FL	11/2016	04/2021
Lpl Financial Llc	Cape Coral	FL	04/2021	Present

09/2014 → 11/2016

Wells Fargo Advisors, Llc

Fort Myers, FL
11/2016 → 04/2021

Wells Fargo Clearing Services, Llc

Fort Myers, FL
04/2021 → Present

Lpl Financial Llc

Cape Coral, FL

Previous Registrations

2014-12-23 → 2021-05-24

Wells Fargo Clearing Services, Llc

Fort Myers, FL

Other Businesses

1) 5/2021- RICH WEALTH PLANNING- DBA for LPL Business (entity for LPL business)- Inv. Related- Cape Coral, FL- 160hrs/mth 2) 11/22/2021 - Betz Financial Advisory, LLC/Capitas Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Broker - Start Date: 11/18/2021 - 5 Hours Per Month/5 Hours During Securities Trading. 3) 12/8/2021 - Cochran Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/22/2021 - 10 Hours Per Month/10 Hours During Securities Trading. 4) 06/01/2023 - Cochran and Rich Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 05/10/2023 - 0 Hours Per Month/ During Securities Trading 5) 06/21/2023 - FedEx - Not Investment Related - Punta Gorda, FL - Other - FedEx Operations Manager - Start Date 03/27/2023 - 50 Hours Per Month/ 0 Hours During Securities Trading 6) 04/30/2025 - Rich Wealth Services - Other - LLC - Not Investment Related - At Reported Business Location(s) - Start Date - 10/03/2022 - 20 Hrs/Mth - 0 Hrs During Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-12-22

S66 Uniform Combined State Law Examination

2014-12-22

Other Names

Al Rich

View on SEC IAPD