Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Brittany Richard
Brittany Lee Richard, Brittany Lee Small, Brittany Small
CRD#: 6441830
IA
Investment Adviser
B
Broker
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 2703 Breckenridge Street, Ste. A
Owensboro, KY 42303
LPL FINANCIAL LLCCRD#: 6413 2703 BRECKENRIDGE ST, STE A
OWENSBORO, KY 42303
Registration History
2018201920202021202220232024202520262 FIRMS2018 - 2024 (5 years)2 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
Indiana 5/24/2024
IA
Kentucky 5/29/2024
IA
Indiana 5/28/2024
IA
Texas 5/28/2024
B
Kentucky 5/24/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRIVATE ADVISOR GROUP, LLC (CRD#:155216)
2703 Breckenridge Street, Ste. A, Owensboro, KY 42303
Registered with this firm since 5/28/2024
B
LPL FINANCIAL LLC (CRD#:6413)
2703 BRECKENRIDGE ST, STE A, OWENSBORO, KY 42303
Registered with this firm since 5/24/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/16/2018 - 05/28/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) EVANSVILLE, IN
B
 06/18/2018 - 05/28/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) EVANSVILLE, IN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.