John Alan Richards

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
CA	RA	APPROVED	1997-12-19

CA RA
APPROVED

Since 1997-12-19

Branch Locations

Valley Village, CA • 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
Lpl Financial Llc (F/K/A Linsco/Private Ledger Corp.)	Toluca Lake	CA	04/1987	Present

04/1987 → Present

Lpl Financial Llc (F/K/A Linsco/Private Ledger Corp.)

Toluca Lake, CA

Other Businesses

(1) 12/17/2013 - ACTOR - 2% OF TIME SPENT (2) 08/26/2021 - jarichards99utube - Not Investment Related - Home Based - Other-Video Producer - Independent Video/Film Producer - Start Date: 08/20/2021 - 15 Hours Per Month/0 Hours During Securities Trading - I create Videos that are shown on my Youtube Channel (jarichards99utube).

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-10-22
S63	Uniform Securities Agent State Law Examination	1987-03-13

S65 Uniform Investment Adviser Law Examination

1996-10-22
S63 Uniform Securities Agent State Law Examination

1987-03-13

Other Names

John Richard Gloeckle

View on SEC IAPD