Charles Richard Branch

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	2018-10-22
WA	RA	APPROVED	2018-10-22

TX RA
APPROVED_RES

Since 2018-10-22
WA RA
APPROVED

Since 2018-10-22

Branch Locations

Wichita Falls, TX • 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
Nfp Advisor Services, Llc	Spokane	WA	04/2016	10/2018
Lpl Financial, Llc	Wichita Falls	TX	10/2018	Present

04/2016 → 10/2018

Nfp Advisor Services, Llc

Spokane, WA
10/2018 → Present

Lpl Financial, Llc

Wichita Falls, TX

Previous Registrations

2016-04-28 → 2018-10-23

Kestra Advisory Services, Llc

Spokane, WA
2016-04-15 → 2016-09-22

Kestra Investment Services, Llc

Spokane Valley, WA
1996-10-28 → 2015-05-14

Ameriprise Financial Services, Llc

Spokane, WA

Spokane, WA

Spokane, WA

Other Businesses

1)10/15/2018 - DBA for LPL Business (entity for LPL Business) - INDEPENDENT WALTH CONNECTIONS - 80% - INVESTMENT RELATED - SPOKANE VALLEY, WA 99206 2)10/15/2018 - NON-VARIABLE INSURANCE - CHARLES "DICK" BRANCH - 20% - INVESTMENT RELATED - SPOKANE VALLEY, WA 99206

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-02-04
S63	Uniform Securities Agent State Law Examination	1982-01-21

S65 Uniform Investment Adviser Law Examination

1995-02-04
S63 Uniform Securities Agent State Law Examination

1982-01-21

Other Names

Dick Branch

View on SEC IAPD