Richard A. Eiseman
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 Andrew Eiseman, who also goes by Richard Andrew Eiseman, Richard Eiseman, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 52, Series 10, Series 9, Series 53 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
May 15, 2021 - August 13, 2021
LPL FINANCIAL LLC
May 14, 2021 - August 13, 2021
LPL FINANCIAL LLC
April 8, 2020 - May 27, 2020
EQUITABLE ADVISORS, LLC
April 2, 2020 - May 27, 2020
EQUITABLE ADVISORS, LLC
September 1, 2011 - December 10, 2018
HSBC SECURITIES (USA) INC.
September 1, 2011 - December 10, 2018
HSBC SECURITIES (USA) INC.
March 29, 2006 - August 23, 2011
CHASE INVESTMENT SERVICES CORP.
May 5, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
September 18, 1996 - August 23, 2011
CHASE INVESTMENT SERVICES CORP.
July 22, 1994 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
August 12, 1993 - August 1, 1994
IFMG SECURITIES, INC.
June 1, 1992 - August 16, 1993
CITICORP INVESTMENT SERVICES
February 20, 1991 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
March 19, 1990 - April 10, 1990
REICH & CO., INC.
October 6, 1989 - March 24, 1990
HYM FINANCIAL, INC.
June 29, 1989 - October 17, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 1, 1988 - July 25, 1988
CHRISTOPHER WEIL & COMPANY, INC
March 20, 1985 - July 12, 1988
DAVID LERNER 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.
