Richard A. Bagby

LPL ENTERPRISE

SOUTHBOROUGH, MA 01772

CRD#: 2026282

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Professional summary

Richard A Bagby, who also goes by Richard A. Bagby, Richard Alan Bagby, Richard Bagby, Rick Bagby, Rick A Bagby, Rick Alan Bagby, is a registered financial professional currently at LPL ENTERPRISE, LLC located in Southborough, Massachusetts.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2001. Richard has worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard A Bagby's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 23, 2026 - Present

LPL ENTERPRISE, LLC

Office #1: 257 Turnpike Rd Suite 300, Southborough, MA 01772

RIA

CRD#: 8733

SOUTHBOROUGH, MA

Past

July 17, 2024 - August 4, 2025

EDWARD JONES

RIA

CRD#: 250

NORWELL, MA

Past

July 11, 2024 - August 4, 2025

EDWARD JONES

CRD#: 250

NORWELL, MA

Past

September 27, 2023 - July 2, 2024

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Hingham, MA

Past

September 27, 2023 - July 2, 2024

J.P. MORGAN SECURITIES LLC

CRD#: 79

Hingham, MA

Past

March 30, 2023 - August 11, 2023

JOHNSON BRUNETTI

RIA

CRD#: 171168

Needham, MA

Past

June 21, 2022 - January 4, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

SMITHFIELD, RI

Past

April 25, 2022 - December 21, 2022

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

February 22, 2012 - April 2, 2012

SOMERSET SECURITIES, INC.

CRD#: 2493

BOSTON, MA

Past

September 2, 2009 - May 14, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

QUINCY, MA

Past

March 15, 2007 - October 1, 2007

HORACE MANN INVESTORS, INC.

CRD#: 11643

LAKEVILLE, MA

Past

October 30, 2001 - September 14, 2002

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

August 28, 2001 - November 8, 2001

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Past

January 22, 2001 - June 29, 2001

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

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".

LPL ENTERPRISE, LLC

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)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Massachusetts
(6/23/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/27/2022

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/22/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/21/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/25/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/23/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/14/2007

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

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
MORNINGSTAR, MATTHEW EDWIN	CHIEF LEGAL OFFICER	2510742
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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Richard A. Bagby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard A Bagby's CRS (Customer Relationship Summary).

Certified licenses

Experience

EDWARD JONES

EDWARD JONES

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

JOHNSON BRUNETTI

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

SOMERSET SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

HORACE MANN INVESTORS, INC.

MML INVESTORS SERVICES, LLC

CINCINNATI ANALYSTS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/27/2022

Series 65

Date: 2/22/2011

Series 63

Date: 3/21/2007

Series 7TO

Date: 4/25/2022

SIE

Date: 3/23/2022

Series 6

Date: 3/14/2007

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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