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Richard Tartarini

LPL Financial LLC
30 Years of Experience
Lynnfield, MA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Richard Tartarini is a registered investment advisor at LPL Financial LLC, based in Lynnfield, MA, with 30 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
—
View Full SEC Brochure

Location

220 Broadway, Suite 403, Lynnfield, MA, 01940

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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
May 2023
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Richard operates Legacy Financial Advisors and Tartarini Financial Services as DBAs for his LPL business, dedicating full-time hours to the latter. He also sells non-variable insurance through Madison Brokerage Insurance, spending minimal time on this, and owns rental real estate.

Employment History
Current Registrations
LPL Financial LLC
January 2024 - Present · 2 yrs 9 mos
LPL Financial LLCBroker
December 2023 - Present · 2 yrs 10 mos
Previous Registrations
Osaic Wealth, INC.
September 2023 - December 2023 · 3 mos
Osaic Wealth, INC.Broker
September 2023 - December 2023 · 3 mos
Sagepoint Financial, INC.
April 2021 - September 2023 · 2 yrs 5 mos
Sagepoint Financial, INC.Broker
April 2021 - September 2023 · 2 yrs 5 mos
Voya Financial Advisors, INC.
April 2016 - April 2021 · 5 yrs
Voya Financial Advisors, INC.Broker
March 2016 - April 2021 · 5 yrs 1 mo
LPL Financial LLC
March 2006 - March 2016 · 10 yrs
LPL Financial LLCBroker
February 2005 - March 2016 · 11 yrs 1 mo
Citigroup Global Markets INC.Broker
November 1999 - March 2005 · 5 yrs 4 mos
Citigroup Global Markets INC.
November 1999 - June 2004 · 4 yrs 7 mos
Painewebber IncorporatedBroker
December 1995 - December 1999 · 4 yrs
State Registrations12 states
CACTFLMAMENCNHNJNYORRIWA
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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