Richard L. Tighe
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 Lyden Tighe JR, who also goes by Richard Tighe Jr, Richard L Tighe, Richard Lyden Tighe, Rick Tighe, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2001. Richard had worked at 9 firms and has passed the Series 66, Series 7TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2026 - April 16, 2026
LPL ENTERPRISE, LLC
April 11, 2019 - July 17, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
March 28, 2019 - July 17, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
March 1, 2017 - December 31, 2017
CETERA WEALTH SERVICES, LLC
February 28, 2017 - December 31, 2017
CETERA WEALTH SERVICES, LLC
July 17, 2014 - March 8, 2017
WELLS FARGO CLEARING SERVICES, LLC
July 11, 2014 - March 8, 2017
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2012 - July 17, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - July 17, 2014
J.P. MORGAN SECURITIES LLC
July 29, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 29, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 1, 2004 - January 25, 2005
TD WEALTH MANAGEMENT SERVICES INC.
April 1, 2004 - January 25, 2005
TD WEALTH MANAGEMENT SERVICES INC.
July 2, 2003 - March 26, 2004
OSAIC WEALTH, INC.
June 10, 2002 - December 10, 2002
MORGAN STANLEY DW INC.
August 23, 2001 - December 10, 2002
MORGAN STANLEY DW INC.
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 7TO
Date: 3/9/2026
General 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.
