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Richard Pinto

LPL Financial LLC
26 Years of Experience
Kaneohe, HI
3 DisclosuresBrokerSells Insurance
View SEC Summary
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Richard Pinto is a registered investment advisor at LPL Financial LLC, based in Kaneohe, HI, with 26 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

Kaneohe, HI

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History

Regulatory History (3)
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.
Judgment / Lien
July 2018
Judgment / Lien
December 2017
Criminal
October 1998
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Richard is a business owner of Trusted Auto Group, dedicating about 10-20% of his time. He also works with Trusted Advisors Group Hawaii, Inc. selling non-variable insurance (about half his time) and as a DBA for his LPL business (full-time), and provides mortgage/real estate services (a few hours per week).

Employment History
Current Registrations
LPL Financial LLCBroker
January 2025 - Present · 1 yr 9 mos
LPL Financial LLC
January 2025 - Present · 1 yr 9 mos
Previous Registrations
Osaic Wealth, INC.
September 2023 - January 2025 · 1 yr 4 mos
Osaic Wealth, INC.Broker
September 2023 - January 2025 · 1 yr 4 mos
Sagepoint Financial, INC.
February 2015 - September 2023 · 8 yrs 7 mos
Sagepoint Financial, INC.Broker
February 2015 - September 2023 · 8 yrs 7 mos
Vsr Advisory Services
August 2009 - February 2015 · 5 yrs 6 mos
Vsr Financial Services, INC.Broker
August 2009 - February 2015 · 5 yrs 6 mos
Beneficial Investment Services, INC.
April 2008 - August 2009 · 1 yr 4 mos
Beneficial Investment Services, INC.Broker
September 2007 - August 2009 · 1 yr 11 mos
Equity Services, INC.Broker
September 2002 - August 2007 · 4 yrs 11 mos
Mony Securities CorporationBroker
November 1999 - August 2002 · 2 yrs 9 mos
State Registrations3 states
AZHITX
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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