RF
Richard A. Fertig
LPL ENTERPRISE
REDDING, CT 06896
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CRD#: 7037359
RF
Professional summary
Richard A Fertig, who also goes by Richard Arthur Fertig, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Redding, Connecticut.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Richard has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Arthur Fertig
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.
FAIRFIELD YMCA POSITION: Certified Personal trainer & Group Fitness Instructor NATURE: Arts, Entertainment, and Recreation INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2023 ADDRESS: 841 Old Post Road, Fairfield CT 06824, United States DESCRIPTION: I am personal training to YMCA clients when they request it. I also run group fitness classes during the week (M-Sa)
CRS (Client Relationship Summary) - RIA
Click below to view Richard A Fertig's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard A Fertig'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
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 29 Giles Hill Road, Redding, CT 06896RIA
BD
CRD#: 8733
REDDING, CT
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 29 Giles Hill Road, Redding, CT 06896RIA
BD
CRD#: 8733
REDDING, CT
Past
August 21, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Redding, CT
Past
August 21, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Redding, CT
Past
July 27, 2022 - August 10, 2023
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
ORANGE, CT
Past
July 27, 2022 - August 10, 2023
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
ORANGE, CT
Past
March 26, 2019 - July 27, 2022
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
SHELTON, CT
Past
November 19, 2018 - July 27, 2022
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
SHELTON, CT
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/18/2025)
RR
Connecticut(11/14/2024)
IAR
Connecticut(11/14/2024)
RR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/19/2018
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
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.
