Gregory Gordon Riggs

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

• 10/2001 → 11/2020
  Kms Financial Services, Inc.
  Seattle, WA
• 11/2020 → 01/2023
  Securities America, Inc.
  Bothell, WA
• 11/2020 → 01/2023
  Securities America Advisors, Inc.
  Bothell, WA
• 01/2023 → Present
  Lpl Financial Llc
  Bothell, WA

Previous Registrations

• 2020-11-06 → 2023-01-31
  Securities America Advisors, Inc.
  Bothell, WA
• 2001-10-11 → 2020-11-06
  Kms Financial Services, Inc.
  Bothell, WA
  Seattle, WA

Other Businesses

1) 1/2023- Riggs Wealth Management- DBA for LPL Business (entity for LPL business)- inv. related- Bothell, WA

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-03-04
• S63 Uniform Securities Agent State Law Examination
  1982-12-27