Richard L. Demontigny
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 L Demontigny was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1997. Richard had worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53, Series 51 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
October 17, 2024 - July 3, 2025
LPL ENTERPRISE, LLC
September 16, 2024 - July 3, 2025
LPL ENTERPRISE, LLC
March 13, 2024 - September 17, 2024
LPL FINANCIAL LLC
March 4, 2024 - July 3, 2025
LPL FINANCIAL LLC
May 4, 2022 - November 7, 2023
EMPOWER ADVISORY GROUP, LLC
May 21, 2018 - April 6, 2022
EMPOWER ADVISORY GROUP, LLC
May 21, 2018 - November 7, 2023
EMPOWER FINANCIAL SERVICES, INC.
January 7, 2014 - December 28, 2015
SIGNATOR FINANCIAL SERVICES, INC.
January 20, 2005 - November 22, 2017
SIGNATOR INVESTORS, INC.
June 9, 2004 - November 22, 2017
SIGNATOR INVESTORS, INC.
February 15, 2001 - October 6, 2003
NEW ENGLAND SECURITIES
October 29, 1999 - February 9, 2001
WS GRIFFITH SECURITIES, INC.
February 6, 1997 - October 28, 1999
IDS LIFE INSURANCE COMPANY
February 6, 1997 - October 28, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
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
Series 99TO
Date: 3/4/2024
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
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 |
| 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 | 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.
