Richard Jean Bourgouin

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

• 03/2015 → 02/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Palm Springs, CA
• 03/2015 → 02/2024
  Bank Of America, N.A.
  Palm Springs, CA
• 05/2024 → Present
  Lpl Financial
  Redlands, CA
• 05/2024 → Present
  Provident Bank
  Redlands, CA
• 02/2024 → 05/2024
  Unemployed
  Beaumont, CA

Previous Registrations

• 2015-03-27 → 2024-02-06
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Palm Springs, CA
  Palm Springs, CA
  Riverside, CA
  Palm Desert, CA
  Palm Springs, CA
  Beaumont, CA
  Palm Springs, CA
  Yucaipa, CA
  Yucaipa, CA
  Beaumont, CA
  Yucaipa, CA
  Beaumont, CA
• 2007-05-31 → 2009-07-27
  Citigroup Global Markets Inc.
  Palm Desert, CA
  Granada Hills, CA
• 2007-05-14 → 2007-05-16
  Dfc Investor Services
  Riverside, CA

Other Businesses

1. 05/16/2024 - Investment Services at Provident Bank - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 5/17/2024.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-11-21
• S63 Uniform Securities Agent State Law Examination
  2000-02-18