Richard Kendall Hawes

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2015 → 04/2026
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 06/2015 → 04/2026
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 04/2026 → Present
  Lpl Financial Llc
  New Smyrna Beach, FL

Previous Registrations

• 2015-06-04 → 2026-04-30
  Cambridge Investment Research Advisors, Inc.
  New Smyrna Beach, FL
• 2014-01-31 → 2015-06-02
  Spc
  Milford, MI
• 2013-05-08 → 2014-03-26
  Greystone Financial Group, Inc.
  Troy, MI

Other Businesses

1. 04/2026 - Concierge Financial Advisors - DBA for LPL Business (entity for LPL business) - Inv Related - 130 Hour(s)/Month - 100 Hour(s) During Trading - Jacksonville FL 32224 - OBA Start Date: 4/30/2026 2. 04/2026 - none - Non-Variable Insurance - Inv Related - 2 Hour(s)/Month - 2 Hour(s) During Trading - New Smyrna Beach FL 32168 - OBA Start Date: 06/01/2015 3. 04/2026 - Timeshare Rental Personal Use - Real Estate Rental - Inv Related - 1 Hour(s)/Month - 1 Hour(s) During Trading - New Smyrna Beach FL 32168 - OBA Start Date: 04/12/2006 4. 04/2026 - Oceanside Private Wealth Management LLC - DBA for LPL Business (entity for LPL business) - Inv Related - 120 Hour(s)/Month - 90 Hour(s) During Trading - At Reported business location(s) - OBA Start Date: 4/30/2026

Exams

• S66 Uniform Combined State Law Examination
  2013-02-27
• S63 Uniform Securities Agent State Law Examination
  1993-06-02

Other Names

• Rick Hawes