RM
Richard J. Marooney
LPL ENTERPRISE
Dover, NH 03820
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CRD#: 2830911
RM
Professional summary
Richard James Marooney, who also goes by Richard J Marooney, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Dover, New Hampshire.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard J Marooney
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.
1) 03/13/2025- Principal- Property and Casualty- I do not do any PC business. I am licensed as a Principal in the firm for oversight.- inv. related- at Wakefield, MA- start date 03/03/2019- 0hrs/mnth-0hrs during trading 2) 03/17/2025- The Ridge Club- Other- I am the Golf Committee chair. I guide a volunteer group of members in providing fee back to the Head Pro and General Manager at The Ridge Club in Sandwich, MA- not inv. related- at Sandwich, MA - start date 03/05/2025- 1hr/mnth-0hrs during trading
CRS (Client Relationship Summary) - RIA
Click below to view Richard James Marooney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard James Marooney'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: 6 Dover Point Road Suite B1, Dover, NH 03820Office #3: 500 Edgewater Drive Suite 595, Wakefield, MA 01880Office #4: 293 Boston Post Road West Suite 110, Marlborough, MA 01752RIA
BD
CRD#: 8733
Dover, NH
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 6 Dover Point Road Suite B1, Dover, NH 03820Office #2: 500 Edgewater Drive Suite 595, Wakefield, MA 01880Office #3: 293 Boston Post Road West Suite 110, Marlborough, MA 01752RIA
BD
CRD#: 8733
Dover, NH
Past
August 22, 2018 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
WAKEFIELD, MA
Past
March 7, 2018 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
WAKEFIELD, MA
Past
March 25, 2017 - September 19, 2017
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
MINNETONKA, MN
Past
March 25, 2017 - September 19, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
MINNETONKA, MN
Past
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
MINNETONKA, MN
Past
October 24, 2012 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
MINNETONKA, MN
Past
June 21, 2002 - January 2, 2015
NEW ENGLAND SECURITIES
RIA
CRD#: 615
MINNEAPOLIS, MN
Past
January 1, 1997 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
MINNEAPOLIS, MN
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
Alaska(11/14/2024)
RR
Arkansas(11/14/2024)
RR
Connecticut(11/14/2024)
RR
Florida(11/15/2024)
RR
Iowa(11/14/2024)
IAR
Iowa(11/14/2024)
RR
Maine(11/14/2024)
IAR
Maine(11/14/2024)
RR
Massachusetts(11/14/2024)
IAR
Massachusetts(11/14/2024)
RR
Minnesota(11/14/2024)
IAR
Minnesota(11/14/2024)
RR
Nevada(11/14/2024)
RR
New Hampshire(11/14/2024)
IAR
New Hampshire(11/14/2024)
RR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
RR
Oregon(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
Rhode Island(11/14/2024)
IAR
Rhode Island(11/14/2024)
RR
Vermont(11/14/2024)
RR
Washington(11/14/2024)
RR
Wisconsin(11/14/2024)
IAR
Wisconsin(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Dover, NH 03820TRUST BUT VERIFY
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