RZ
Richard J. Zaegel
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CRD#: 851991
RZ
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 John Zaegel was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1978. Richard had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 24 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
No
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) 04/06/2022 - Cornerstone Wealth Services- DBA for LPL Business (entity for LPL business) - Inv Rel - Des Peres, MO 2) 12/06/2021 - Richard Zaegel - Non-Variable Insurance- Agent selling life,health, disability, annuities, and long term care - Inv Rel - Des Peres, MO - Start: 02/2012 3) 12/06/2021 - FINRA - Arbitrator - Non-Inv Rel - Chicago, IL - Start: 01/1985 - 4 Hr/Mth 4) 06/21/2022 - Milster Family Revocable Living Trust - Not Investment Related - At Reported Business Location(s) - Act in a Fiduciary Capacity - Start Date - 06/15/2022 - 4 Hours Per Month/ 1 Hours During Securities Trading. 5) 08/01/2022 - No Business Name - Investment Related - Act in a Fiduciary Capacity - POA for sister, Barbara Milster - Start Date - 1/15/14 - 5 Hours Per Month. 6) 2/14/2023 - Cornerstone Wealth Portfolios - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 2/1/2023 7) 10/13/2023 - Pickett Group - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 09/20/2023 - 1 Hour Per Month/ 0 Hours During Trading
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®
NoneExperience
Past
April 21, 2022 - July 23, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
DES PERES, MO
Past
April 21, 2022 - July 23, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
DES PERES, MO
Past
February 28, 2012 - April 22, 2022
CETERA ADVISORS LLC
RIA
CRD#: 10299
WEBSTER GROVES, MO
Past
February 28, 2012 - April 22, 2022
CETERA ADVISORS LLC
BD
CRD#: 10299
WEBSTER GROVES, MO
Past
March 25, 2009 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
RIA
CRD#: 108728
RENTON, WA
Past
March 4, 2009 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
WEBSTER GROVES, MO
Past
November 19, 2002 - March 25, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
CLAYTON, MO
Past
July 23, 2002 - March 25, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
CLAYTON, MO
Past
August 4, 2000 - July 29, 2002
IRWIN UNION SECURITIES
BD
CRD#: 18415
COLUMBUS, IN
Past
December 22, 1997 - August 9, 2000
B. C. ZIEGLER AND COMPANY
BD
CRD#: 61
CHICAGO, IL
Past
January 23, 1990 - May 1, 1998
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
May 8, 1978 - January 4, 1990
CHARLOTTE S. COHEN & COMPANY, INC.
BD
CRD#: 6401
ST. LOUIS, MO
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 FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 4/22/1978
Registered Principal ExaminationCurrent Firm
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)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
California since 11/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
37,893
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 |
| 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 | 208 |
| 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.
