Christopher Richards

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Contact Information

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Disclosures on record.

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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Years of Experience

12 years registered in the securities industry

Current & Past Employments

Current

LPL ENTERPRISE, LLCCurrent·CRD# 8733

RIA

BD

660 White Plains Rd Suite 640, Tarrytown, NY 10591

November 2, 2026 - Present

LPL ENTERPRISE, LLCCurrent·CRD# 8733

RIA

BD

660 White Plains Rd Suite 640, Tarrytown, NY 10591

November 2, 2026 - Present

Past

PARK AVENUE SECURITIES LLCPast·CRD# 46173

RIA

Stamford, CT

April 25, 2023 - November 2, 2026

PARK AVENUE SECURITIES LLCPast·CRD# 46173

BD

Stamford, CT

April 25, 2023 - November 2, 2026

PRUCO SECURITIES, LLC.Past·CRD# 5685

RIA

White Plains, NY

April 21, 2022 - April 6, 2023

PRUCO SECURITIES, LLC.Past·CRD# 5685

BD

White Plains, NY

July 22, 2021 - April 6, 2023

MML INVESTORS SERVICES, LLCPast·CRD# 10409

BD

Norwalk, CT

May 27, 2020 - July 19, 2021

NYLIFE SECURITIES LLCPast·CRD# 5167

BD

White Plains, NY

June 5, 2014 - October 30, 2019

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Current Firm

LE

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)

BD

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).

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

5,215

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

A58 LPLE (10/8/2026)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER	—
EVANGELIOU, KIRIAKOS ANDREAS	SVP, CHIEF COMPLIANCE OFFICER	2496177
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

Regulatory Assets Under Management

Total Number of Accounts

139,192

AUM (Assets Under Management)

$24,939,385,373

Disclosures

Regulatory Event

3

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2026	Cover Page	Report
06/25/2025	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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. 10/28/2026 – Christopher Richards N/A Non-Variable Insurance – Non-Variable Insurance/Insurance Agency – Norwalk CT 06850 – Inv Related – OBA Start Date: 10/23/2026 – 160 Hour(s)/Month – 160 Hour(s) During Trading” 2. 10/28/2026 – Prudential Wealth Advisors – DBA for LPL Business (entity for LPL business) – Norwalk CT 06850 – Inv Related – OBA Start Date: 10/23/2026 – 160 Hour(s)/Month – 160 Hour(s) During Trading” 3. 10/28/2026 – Legacy as a Benefit LLC – Non-Variable Insurance – Norwalk CT – Inv Related – OBA Start Date: 03/01/2026 – 10 Hour(s)/Month – 0 Hour(s) During Trading”

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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

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)

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.

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Connecticut
(11/2/2026)

IAR

Connecticut
(11/2/2026)

IAR

New York
(11/9/2026)

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.Note:This rule does not apply to broker-dealer activity.