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Richard Lee Pistulka

LPl Financial LLC

Edmond, OK

CRD 1685982

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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 1996-01-23
OK RA APPROVED 1995-07-25
  • TX RA
    APPROVED_RES
    Since 1996-01-23
  • OK RA
    APPROVED
    Since 1995-07-25

Branch Locations

Edmond, OK • 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 Financial, Llc Edmond OK 06/1995 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-04-19
S63 Uniform Securities Agent State Law Examination 1987-06-25
  • S65 Uniform Investment Adviser Law Examination
    1995-04-19
  • S63 Uniform Securities Agent State Law Examination
    1987-06-25
Other Names
  • Rick Pistulka

View on SEC IAPD

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