Richard Champion
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 Champion, CFP®, who also goes by Richard James Champion, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2006. Richard had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2011
Experience
May 15, 2025 - April 1, 2026
LPL FINANCIAL LLC
May 15, 2025 - April 1, 2026
LPL FINANCIAL LLC
November 19, 2024 - May 15, 2025
CUSO FINANCIAL SERVICES, L.P.
November 18, 2024 - May 15, 2025
CUSO FINANCIAL SERVICES, L.P.
March 2, 2015 - November 18, 2024
CUSO FINANCIAL SERVICES, L.P.
March 2, 2015 - November 18, 2024
CUSO FINANCIAL SERVICES, L.P.
October 20, 2011 - February 24, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2011 - February 24, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 2, 2010 - September 26, 2011
MSI FINANCIAL SERVICES, INC.
January 26, 2010 - September 26, 2011
MSI FINANCIAL SERVICES, INC.
May 2, 2009 - July 28, 2009
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - July 28, 2009
CHASE INVESTMENT SERVICES CORP.
November 23, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
September 8, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
May 8, 2006 - July 5, 2006
EDWARD JONES
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 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| 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 | 214 |
| 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.
