Richard W. Buffkin

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CRD#: 6018495

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 William Buffkin was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2012. Richard had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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. 03/05/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - Pfafftown, NC - Start Date 03/05/2025 - 160 HRS/MO 2. 03/05/2025 - N/A - Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Pfafftown, NC - Start Date 03/05/2025 - 160 HRS/MO 3. 03/05/2025 - Rotary Club of Winston-Salem - Non-Profit Board Member - NOT INV REL - Winston Salem, NC - Start Date 07/01/2022 - 2 HRS/MO 4. 03/05/2025 - Shoals Methodist Church - Outside/W-2 Employment - NOT INV REL - Pinnacle, NC - Start Date 05/01/2024 - 15 HRS/MO 5. 03/05/2025 - Whitakers Chapel Methodist Church - Outside/W-2 Employment - NOT INV REL - Pilot Mountain, NC - Start Date 05/01/2024 - 15 HRS/NO

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 13, 2025 - July 11, 2025

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

HIGH POINT, NC

Past

March 13, 2025 - July 11, 2025

LPL ENTERPRISE, LLC

CRD#: 8733

HIGH POINT, NC

Past

January 7, 2024 - November 5, 2024

STIRLINGSHIRE INVESTMENTS

RIA

CRD#: 327779

Pfafftown, NC

Past

January 2, 2024 - November 5, 2024

STIRLINGSHIRE INVESTMENTS

CRD#: 310576

NEW YORK CITY, NY

Past

February 23, 2021 - January 4, 2024

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

MINNEAPOLIS, MN

Past

February 23, 2021 - January 4, 2024

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

June 24, 2019 - July 2, 2020

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

GREENSBORO, NC

Past

October 2, 2017 - April 12, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

HIGH POINT, NC

Past

September 22, 2014 - October 8, 2015

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

DURHAM, NC

Past

September 17, 2014 - October 8, 2015

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

DURHAM, NC

Past

June 11, 2012 - December 13, 2012

EDWARD JONES

RIA

CRD#: 250

WINSTON SALEM, NC

Past

March 9, 2012 - December 13, 2012

EDWARD JONES

CRD#: 250

WINSTON SALEM, NC

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/14/2020

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/12/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/8/2012

General Securities Representative Examination

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
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

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 W. Buffkin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL ENTERPRISE, LLC

STIRLINGSHIRE INVESTMENTS

STIRLINGSHIRE INVESTMENTS

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

ALLSTATE FINANCIAL SERVICES, LLC

EQUITABLE ADVISORS, LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/14/2020

SIE

Date: 4/12/2018

Series 7

Date: 3/8/2012

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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