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Richard James Huckeriede

LPl Financial LLC

St Marys, OH

CRD 1455599

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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-02-11
OH RA APPROVED 2005-09-07
  • TX RA
    APPROVED_RES
    Since 2013-02-11
  • OH RA
    APPROVED
    Since 2005-09-07

Branch Locations

St Marys, OH • 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
Linsco/Private Ledger Cincinnati OH 08/2005 Present
  • 08/2005 → Present
    Linsco/Private Ledger
    Cincinnati, OH
Previous Registrations
  • 1999-05-13 → 2005-08-29
    Morgan Stanley Dw Inc.
    Cincinnati, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-29
S63 Uniform Securities Agent State Law Examination 1986-06-04
  • S65 Uniform Investment Adviser Law Examination
    1999-04-29
  • S63 Uniform Securities Agent State Law Examination
    1986-06-04
Other Names
  • Rick Huckeriede
  • Dick Huckeriede

View on SEC IAPD

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