Richard Howard Case

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-06-05
LA	RA	APPROVED	2025-06-05
TX	RA	APPROVED_RES	2025-06-05

CA RA
APPROVED

Since 2025-06-05
LA RA
APPROVED

Since 2025-06-05
TX RA
APPROVED_RES

Since 2025-06-05

Branch Locations

2555 Townsgate Rd Ste 300, Westlake Village, CA 91361 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Western International Securities, Inc.	Pasadena	CA	10/2008	06/2025
Lpl Financial Llc	Westlake Village	CA	06/2025	Present

10/2008 → 06/2025

Western International Securities, Inc.

Pasadena, CA
06/2025 → Present

Lpl Financial Llc

Westlake Village, CA

Previous Registrations

2008-10-21 → 2025-06-05

Western International Securities, Inc.

Westlake Village, CA

Pasadena, CA
2007-06-01 → 2008-10-28

Crowell, Weedon & Co.

Westlake Village, CA
2005-10-19 → 2006-12-07

Smart Investments Advisory Incorporated

Redlands, CA

Westlake Village, CA

Los Angeles, CA
2003-05-13 → 2005-02-28

Wells Fargo Clearing Services, Llc

Westlake Village, CA

Other Businesses

1. 6/5/2025: Tarian Investment Services,Inc; At reported business location(s); Business Entity For Tax/Investment Purposes Only; Not inv. related; start date 3/18/2025; 1hr/mo. during trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-05-27
S63	Uniform Securities Agent State Law Examination	1984-03-13

S65 Uniform Investment Adviser Law Examination

1999-05-27
S63 Uniform Securities Agent State Law Examination

1984-03-13

View on SEC IAPD