Richard Vandyke

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2013-12-20
TX	RA	APPROVED	2012-01-19
CA	RA	APPROVED	2007-03-14

MN RA
APPROVED

Since 2013-12-20
TX RA
APPROVED

Since 2012-01-19
CA RA
APPROVED

Since 2007-03-14

Branch Locations

Prior Lake, MN • United States

Bloomington, MN • 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

Organization	City	State	From	To
Lpl Financial Llc	Bloomginton	MN	03/2007	Present

03/2007 → Present

Lpl Financial Llc

Bloomginton, MN

Other Businesses

(1) 03/12/2007: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - 10% Time Spent - Outside Fixed Insurance Business Including Life, Disability and LTC. (2) 02/10/2010: River Valley Wealth Management, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance DBA - 5% Time Spent - Developing insurance solutions. Act as a broker. 3) 09/25/2025 - River Valley Wealth Management Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:03/15/2007 - 172 Hrs/Mth - 154 Hrs During Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-12-21
S63	Uniform Securities Agent State Law Examination	1990-08-22

S65 Uniform Investment Adviser Law Examination

1998-12-21
S63 Uniform Securities Agent State Law Examination

1990-08-22

Other Names

Rick Vandyke

View on SEC IAPD