RH
Richard J. Haberstroh
LPL ENTERPRISE
ATLANTA, GA 30326
Some features on this profile are disabled
CRD#: 6873938
RH
Professional summary
Richard Joseph Haberstroh, who also goes by Richard Joseph Haberstroh Jr, Richard Walter Haberstroh, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Atlanta, Georgia.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Richard has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Joseph Haberstroh Jr | Richard Walter Haberstroh
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. 10/23/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - Birmingham, AL - Start Date 10/02/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 2. 10/23/2025 - RICHARD HABERSTROH N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Birmingham, AL - Start Date 10/02/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 3. 10/23/2025 - At Home Furnishings - Real Estate Rental - INV REL - Birmingham, AL - Start Date 11/01/2025 - 8 HRS/MO | 0 HRS/MO DURING TRADING 4. 10/23/2025 - St. Stephens Episcopal Church - Non-profit volunteer (not on board) - NOT INV REL - Vestavia Hills, AL - Start Date 01/01/2019 - 2 HRS/MO | 0 HRS/MO DURING TRADING 5. 10/23/2025 - St. Stephens Episcopal Church - Non-Profit Board Member - NOT INV REL - Vestavia, AL - Start Date 09/01/2025 - 4 HRS/MO | 4 HRS/MO DURING TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Richard Joseph Haberstroh's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 31, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 3343 Peachtree Road, N.e. Suite 700, Atlanta, GA 30326RIA
BD
CRD#: 8733
ATLANTA, GA
Past
May 27, 2022 - July 17, 2025
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BIRMINGHAM, AL
Past
May 27, 2022 - July 17, 2025
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BIRMINGHAM, AL
Past
June 5, 2019 - June 2, 2022
OSAIC FA, INC.
RIA
CRD#: 3978
BIRMINGHAM, AL
Past
October 29, 2018 - June 2, 2022
OSAIC FA, INC.
BD
CRD#: 3978
BIRMINGHAM, AL
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
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
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)
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.Highlighted states indicate IAR registrations
IAR
Alabama(10/31/2025)
IAR
Georgia(11/4/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
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)
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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)
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 | 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.
