Richard H. Linsday
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 Herbert Linsday, who also goes by Rich Linsday, Richard H Linsday, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 11 firms and has passed the Series 63, SIE, Series 2 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2019 - December 23, 2024
LPL FINANCIAL LLC
June 21, 2019 - December 23, 2024
LPL FINANCIAL LLC
July 1, 2013 - June 25, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
June 28, 2013 - June 25, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
June 21, 2001 - July 3, 2013
MSI FINANCIAL SERVICES, INC.
June 12, 2001 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
June 12, 2001 - July 3, 2013
MSI FINANCIAL SERVICES, INC.
November 3, 1994 - June 1, 2001
WS GRIFFITH SECURITIES, INC.
May 22, 1991 - November 16, 1994
OSAIC FS, INC.
May 16, 1991 - August 14, 1996
JOHN HANCOCK DISTRIBUTORS LLC
July 31, 1989 - February 22, 1991
IDS LIFE INSURANCE COMPANY
July 31, 1989 - February 22, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
July 29, 1988 - March 20, 1991
MUTUAL SERVICE CORPORATION
July 27, 1988 - August 10, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 15, 1983 - March 26, 1988
JOHN HANCOCK DISTRIBUTORS LLC
June 19, 1983 - September 30, 1985
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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
Series 2
Date: 3/7/1973
Non-Member General Securities ExaminationCurrent 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.
