Richard R. Davis

LPL ENTERPRISE

North Chatham, MA

CRD#: 1082251

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Professional summary

Richard R Davis, who also goes by Richard Ros Davis, Dick Davis, Richard R Davis, Richard R Davis Cfa, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in North Chatham, Massachusetts.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Richard has worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 15, Series 3, Series 7 and Series 24 exams.

Aliases

Richard Ros Davis | Dick Davis | Richard R Davis | Richard R Davis Cfa

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard R Davis's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Richard R Davis's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 2, 2026 - Present

LPL ENTERPRISE, LLC

Office #2: 475 Kilvert Street Suite 135, Warwick, RI 02886

RIA

CRD#: 8733

North Chatham, MA

Current

June 29, 2026 - Present

LPL ENTERPRISE, LLC

Office #1: 475 Kilvert Street Suite 135, Warwick, RI 02886

RIA

CRD#: 8733

WARWICK, RI

Past

July 11, 2023 - January 15, 2025

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

North Chatham, MA

Past

July 10, 2023 - January 15, 2025

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

NEW YORK, NY

Past

April 7, 2021 - November 8, 2021

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

BRAINTREE, MA

Past

March 23, 2021 - November 8, 2021

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

BRAINTREE, MA

Past

September 16, 2014 - May 13, 2019

VIRTUS INVESTMENT ADVISERS, LLC

RIA

CRD#: 106982

WELLESLEY, MA

Past

February 6, 2013 - May 13, 2019

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

January 25, 2010 - February 24, 2012

RAMPART SECURITIES, INC.

CRD#: 102900

BOSTON, MA

Past

February 19, 2009 - May 18, 2009

NATIXIS DISTRIBUTION, LLC

CRD#: 34754

BOSTON, MA

Past

June 27, 2006 - January 29, 2007

THE COLONY GROUP OF NAPLES, LLC

RIA

CRD#: 137218

NAPLES, FL

Past

May 12, 2005 - January 29, 2007

THE COLONY GROUP, LLC

RIA

CRD#: 111806

BOSTON, MA

Past

August 4, 2003 - February 12, 2004

BARINGS SECURITIES LLC

CRD#: 36929

CHARLOTTE, NC

Past

March 4, 1996 - October 31, 2001

MELLON FUNDS DISTRIBUTOR, L.P.

CRD#: 39414

BOSTON, MA

Past

December 21, 1982 - January 9, 1989

GOLDMAN SACHS & CO. LLC

CRD#: 361

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Massachusetts
(7/1/2026)

Rhode Island
(7/2/2026)

IAR

Rhode Island
(7/2/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/11/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/2/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/27/1996

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 15

Date: 1/23/1985

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 1/26/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/18/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/31/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

PREMIUM

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORNINGSTAR, MATTHEW EDWIN	CHIEF LEGAL OFFICER	2510742
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Richard R. Davis

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard R Davis's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Richard R Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

VIRTUS INVESTMENT ADVISERS, LLC

VP DISTRIBUTORS LLC

RAMPART SECURITIES, INC.

NATIXIS DISTRIBUTION, LLC

THE COLONY GROUP OF NAPLES, LLC

THE COLONY GROUP, LLC

BARINGS SECURITIES LLC

MELLON FUNDS DISTRIBUTOR, L.P.

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/11/2021

Series 65

Date: 3/2/1994

SIE

Date: 10/1/2018

Series 6

Date: 2/27/1996

Series 15

Date: 1/23/1985

Series 3

Date: 1/26/1983

Series 7

Date: 12/18/1982

Series 24

Date: 7/31/2003

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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