Individual Firm
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STEVEN ROBERT RICH
CRD#: 2519496
IA
B
LPL FINANCIAL LLCCRD#: 6413 1 LAKE BELLEVUE DR STE 204
BELLEVUE, WA 98005-2417
BELLEVUE, WA 98005-2417
0
Disclosures
30
Years of Experience
View By:
State Registrations
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Alaska 9/1/2020
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Montana 9/1/2020
B
Arizona 9/1/2020
B
Nevada 9/1/2020
B
California 9/1/2020
B
New Mexico 1/21/2021
B
Colorado 10/6/2020
B
New York 9/1/2020
B
Connecticut 9/1/2020
B
North Carolina 1/22/2021
B
District of Columbia 9/6/2022
B
Oklahoma 10/15/2020
B
Florida 9/1/2020
B
Oregon 9/1/2020
B
Hawaii 9/1/2020
B
Rhode Island 2/9/2022
B
Idaho 9/1/2020
B
South Carolina 10/6/2020
B
Illinois 9/1/2020
B
Texas 9/1/2020
B
Louisiana 9/1/2020
IA
Texas 9/1/2020
B
Maryland 1/21/2021
B
Utah 10/15/2020
B
Massachusetts 12/1/2023
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Washington 9/1/2020
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Minnesota 9/1/2020
IA
Washington 9/1/2020
B
Missouri 9/1/2020
B
Wyoming 9/1/2020
SRO Registrations
B
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IA
Registered with this firm since 9/1/2020
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Registered with this firm since 9/1/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/25/1995 - 09/01/2020 | BELLEVUE, WA | |
B | 09/28/1994 - 09/01/2020 | BELLEVUE, WA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.