Richard C. Strype
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Charles Strype was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 15 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2009 - June 7, 2012
LPL FINANCIAL LLC
June 9, 2009 - June 7, 2012
LPL FINANCIAL LLC
March 20, 2009 - May 29, 2009
LEGEND ADVISORY, LLC
September 11, 2007 - May 29, 2009
LEGEND EQUITIES CORPORATION
June 18, 2007 - August 9, 2007
LINCOLN INVESTMENT
September 12, 2005 - August 9, 2007
LINCOLN INVESTMENT
December 7, 2004 - April 29, 2005
CITICORP INVESTMENT SERVICES
May 13, 2003 - April 29, 2005
CITICORP INVESTMENT SERVICES
June 20, 2002 - April 3, 2003
FISERV INVESTOR SERVICES, INC.
June 22, 2001 - June 10, 2002
HSBC BROKERAGE (USA) INC.
March 24, 1999 - June 29, 2001
CITICORP INVESTMENT SERVICES
May 16, 1995 - March 16, 1999
DIME SECURITIES, INC.
February 24, 1994 - May 22, 1995
FLEET ENTERPRISES, INC.
July 14, 1993 - January 26, 1994
PFS INVESTMENTS INC.
August 10, 1990 - May 29, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 10, 1990 - May 29, 1991
SIGNATOR INVESTORS, INC.
April 25, 1989 - August 31, 1989
REICH & CO., INC.
February 9, 1989 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
August 22, 1983 - March 13, 1987
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
