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Richard Clifford

LPL Financial LLC
36 Years of Experience
Milford, CT
1 DisclosureBrokerSells Insurance
View SEC Summary
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Richard Clifford is a CFP-designated registered investment advisor at LPL Financial LLC, based in Milford, CT, with 36 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Milford, CT

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Richard is affiliated with Strategic Wealth Partners, LLC as a DBA for his LPL business and for non-variable insurance sales. He dedicates about a quarter of his time to these activities.

Employment History
Current Registrations
LPL Financial LLCBroker
May 2024 - Present · 2 yrs 5 mos
LPL Financial LLC
May 2024 - Present · 2 yrs 5 mos
Previous Registrations
Lincoln Financial Securities CorporationBroker
November 2012 - May 2024 · 11 yrs 6 mos
Lincoln Financial Securities Corporation
November 2012 - May 2024 · 11 yrs 6 mos
Financial Network Investment Corporation
June 2008 - November 2012 · 4 yrs 5 mos
Financial Network Investment CorporationBroker
June 2008 - November 2012 · 4 yrs 5 mos
Princor Financial Services Corporation
February 2003 - June 2008 · 5 yrs 4 mos
Princor Financial Services CorporationBroker
February 2003 - June 2008 · 5 yrs 4 mos
1717 Capital Management Company
May 2002 - March 2003 · 10 mos
1717 Capital Management CompanyBroker
April 1993 - March 2003 · 9 yrs 11 mos
Bma Financial Services, INC.Broker
November 1992 - April 1993 · 5 mos
Penn Mutual Equity Services, INC.Broker
August 1991 - November 1992 · 1 yr 3 mos
Pml Securities CompanyBroker
October 1989 - July 1991 · 1 yr 9 mos
State Registrations12 states
CTDEFLGAMDNCNJNYPASCTNWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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