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Stephen A Riggs

LPl Financial LLC

Georgia, VT

CRD 862223

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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

AuthorityCategoryStatusDate
VT RA APPROVED 2002-04-02
  • VT RA
    APPROVED
    Since 2002-04-02

Branch Locations

Georgia, VT • 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
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) Williston VT 03/2002 Present
  • 03/2002 → Present
    Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
    Williston, VT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-06-16
S63 Uniform Securities Agent State Law Examination 1981-01-16
  • S65 Uniform Investment Adviser Law Examination
    1995-06-16
  • S63 Uniform Securities Agent State Law Examination
    1981-01-16
Other Names
  • Stephen Allan Riggs

View on SEC IAPD

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