Richard F. Garrett
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 Francis Garrett, CFP®, who also goes by Richard F Garrett, Richard Francis Garrett Mr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, 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
November 29, 2017 - October 9, 2020
LPL FINANCIAL LLC
November 29, 2017 - October 9, 2020
LPL FINANCIAL LLC
January 4, 2016 - November 29, 2017
INVESTMENT CENTERS OF AMERICA, INC.
January 4, 2016 - November 29, 2017
INVESTMENT CENTERS OF AMERICA, INC.
June 6, 2012 - January 5, 2016
MSI FINANCIAL SERVICES, INC.
December 12, 2011 - January 5, 2016
MSI FINANCIAL SERVICES, INC.
March 30, 2007 - October 3, 2007
PRUCO SECURITIES, LLC.
January 4, 2006 - March 12, 2007
AUSDAL FINANCIAL PARTNERS, INC.
January 4, 2006 - March 12, 2007
AUSDAL FINANCIAL PARTNERS, INC.
July 15, 2004 - December 31, 2005
MSI FINANCIAL SERVICES, INC.
July 15, 2004 - December 31, 2005
METROPOLITAN LIFE INSURANCE COMPANY
July 15, 2004 - December 31, 2005
MSI FINANCIAL SERVICES, INC.
November 4, 2003 - April 27, 2004
FINTEGRA, LLC
March 31, 2003 - October 31, 2003
CETERA WEALTH SERVICES, LLC
March 26, 2003 - October 31, 2003
CETERA WEALTH SERVICES, LLC
January 3, 2003 - March 28, 2003
LOCUST STREET SECURITIES, INC.
December 12, 2002 - March 28, 2003
LOCUST STREET SECURITIES, INC.
February 28, 2001 - December 9, 2002
EQUITABLE ADVISORS, LLC
October 26, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 26, 1999 - December 9, 2002
EQUITABLE ADVISORS, LLC
August 29, 1996 - February 20, 1997
INVESTMENT CENTERS OF AMERICA, INC.
September 29, 1993 - July 3, 1996
A. G. EDWARDS & SONS, INC.
February 15, 1991 - October 13, 1993
INFINET SECURITIES, INC.
December 26, 1986 - February 12, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
