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Richard Michael Walsh

LPl Financial LLC

Downingtown, PA

CRD 1582814

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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
PA RA APPROVED 2021-08-03
NJ RA APPROVED 2021-01-19
  • PA RA
    APPROVED
    Since 2021-08-03
  • NJ RA
    APPROVED
    Since 2021-01-19

Branch Locations

Downingtown, PA • 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
Janney Montgomery Scott Llc New York NY 04/2002 12/2020
Lpl Financial Llc Cranford NJ 01/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-10-02
S63 Uniform Securities Agent State Law Examination 1987-04-01
  • S65 Uniform Investment Adviser Law Examination
    2015-10-02
  • S63 Uniform Securities Agent State Law Examination
    1987-04-01

View on SEC IAPD

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