Richard H. Lohmeyer
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 Harry Lohmeyer, who also goes by Dick Lohmeyer, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 13 firms and has passed the Series 65, Series 63, SIE, 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
August 30, 2007 - June 23, 2015
LPL FINANCIAL LLC
August 30, 2007 - June 23, 2015
LPL FINANCIAL LLC
November 13, 2002 - November 6, 2007
SECU BROKERAGE SERVICES
September 9, 2002 - November 6, 2007
SECU BROKERAGE SERVICES
February 13, 2001 - September 23, 2002
CETERA WEALTH SERVICES, LLC
August 30, 2000 - September 23, 2002
CETERA WEALTH SERVICES, LLC
April 6, 2000 - August 8, 2000
THE VARIABLE ANNUITY MARKETING COMPANY
April 6, 2000 - August 8, 2000
VALIC FINANCIAL ADVISORS, INC.
February 14, 2000 - March 2, 2000
BANCWEST INVESTMENT SERVICES, INC.
February 1, 1994 - February 25, 2000
CETERA WEALTH SERVICES, LLC
February 27, 1989 - February 16, 1994
CUNA BROKERAGE SERVICES, INC.
September 26, 1988 - April 3, 1989
ASSOCIATED SECURITIES CORP.
January 10, 1986 - September 26, 1988
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 26, 1985 - December 27, 1985
GAF FINANCIAL AND INSURANCE SERVICES
October 15, 1985 - December 17, 1985
PAMCO SECURITIES AND INSURANCE SERVICES
November 1, 1983 - August 31, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
August 24, 1983 - October 11, 1983
G. W. STORY & ASSOCIATES, 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.
