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Richard William Heagen

LPl Financial LLC

Boca Raton, FL

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2016-08-23
  • FL RA
    APPROVED
    Since 2016-08-23

Branch Locations

4600 N Dixie Hwy, Boca Raton, FL 33431 • 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
OrganizationCityStateFromTo
Lpl Finanical Llc Boca Raton FL 08/2016 Present
  • 08/2016 → Present
    Lpl Finanical Llc
    Boca Raton, FL
Previous Registrations
  • 2011-11-28 → 2016-08-22
    Summit Financial Group Inc
    Boca Raton, FL
  • 1993-06-10 → 2009-12-01
    Boca Raton, FL
Other Businesses

1)8/22/16- RW Heagen & Associates Inc.- Tax entity- NON-Inv. Related- start date 10/1/1998 - 1% 2)8/22/16/- Property and Casualty- Insurance- Inv. Related- start date 1/30/15- 1%. 3) 6/20/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 01/01/1992 - 2 Hours Per Month/0 Hours During Securities Trading - Fixed insurance. 4) 4/5/2019 - Annuity Experts - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/01/2019 - 1 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-05-16
  • S63 Uniform Securities Agent State Law Examination
    1986-05-16
Other Names
  • Richard William Heagen
  • Richard William Haegen

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