RP
Richard J. Presky
LPL ENTERPRISE
ROME, NY 13440
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CRD#: 1394759
RP
Professional summary
Richard James Presky is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Rome, New York.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
D/B/A Presky Ins Agency~214 N Washington St, Rome, NY 13440~INS~N~Pres~01/19860~0 hrs/mo~0 trading hrs/mo|Notary Public~214 N Washington St, Rome, NY 13440~Notorizing papers~N~Notary~10/1988~1 hrs/mo~1 trading hrs/mo|Mohawk Valley Economic Developement~26 N Main St, Mohawk, NY 13407~economic developement in the area. Occasional co sign check to pay expenses~N~past president~01/20/2015~1 hrs/mo~0 trading hrs/mo|Genesis Group of Mohawk Valley~600 French Rd, New Hartford, NY 13413~Tp promote the advantages of the Mohawk Valley~N~Board of Directors~09/01/2017~1 hrs/mo~1 trading hrs/mo|Allstate|Ameritas Life Ins Corp|Berkshire Life Ins Co|Columbian Mutual Life Ins Co|Companion Life|Farmers & Traders Life Ins Co|Genworth Life & Annuity-Fixed Life & Annuity Genworth Life Ins. Co Lic in New Jersey|GE Capital Life Assurance|Humana Life Ins Co|I originally got licensed with them as Pru doesn't have any small face amounts. I have never used or put an applicatiion in.|John Hancock Life Ins. Co.|Lincoln Life & Annuity Co of New York|Medamerica Ins Co of New York|Met life|Metropolitian Life Ins. Co.|NYS|Penn Mutual Life Ins Co|Presial Life Ins Co|Reliastar United Services Life Ins Co|Security Mutual Ins Co|The Standard Individual Disability insurance|Transamerica|Transamerica Life Ins Co. Lic in New Jersey & Pa|united & Mutual of Omaha|UNUM Provident|zenith Marketing group CORNELL UNIVERSITY COOPERATIVE EXTENSION ONEIDA COUNTY POSITION: Treasurer NATURE: Educational Services INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 04/25/2024 ADDRESS: 121 Second Street, Oriskany NY 13424, United States DESCRIPTION: none only title employee prepares the report
CRS (Client Relationship Summary) - RIA
Click below to view Richard James Presky's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard James Presky's 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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 214 N Washington Street, Rome, NY 13440RIA
BD
CRD#: 8733
ROME, NY
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 214 N Washington Street, Rome, NY 13440RIA
BD
CRD#: 8733
ROME, NY
Past
June 7, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ROME, NY
Past
August 6, 1985 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ROME, NY
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
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)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
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
RR
Colorado(11/14/2024)
RR
Florida(11/15/2024)
RR
Georgia(3/10/2025)
RR
Minnesota(11/14/2024)
RR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
IAR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
RR
Ohio(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
Virginia(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
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)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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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)
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 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| 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 | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
