Richard Shingo Kosai

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2003 → Present
  Lpl Financial, Llc (Formerly: Linsco/Private Ledger)
  Irivine, CA

Previous Registrations

• 2003-07-01 → 2003-10-21
  Wells Fargo Clearing Services, Llc
  Newport Beach, CA
• 1999-07-27 → 2003-07-01
  Prudential Equity Group, Llc
  Newport Beach, CA

Other Businesses

1. 6/19/2021 - Richard S. Kosai CFP Inc. - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 5/6/2021 - 1 Hours Per Month/1 Hours During Securities Trading - LPL revenue goes into CFP business account. 2. 10/03/2024 - EDUCATION - Not Investment Related - NORTHWOOD HIGH SCHOOL: 4515 PORTOLA PKWY, IRVINE, CA 92620 - Outside/W-2 Employment - Tennis Coach - Started 08/20/2024 - 40 Hours Per Month/0 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-04-01
• S63 Uniform Securities Agent State Law Examination
  1988-06-03

Designations

• Certified Financial Planner