Richard Pucci
Richard Pucci is a registered investment advisor at LPL Financial LLC, based in Chicago, IL, with 22 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
1725 N Mohawk St Apt 3S, Chicago, IL, 60614
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
September 2009Other Business ActivitiesSells Insurance
Richard operates his LPL business through Park Ridge Financial Inc. He is also an author, spends minimal time on non-variable insurance through E4 Insurance Services, and dedicates minimal time to an AirBnb real estate rental.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
Pacific West Financial Consultants INC
Pacific West Securities, INC.Broker
Associated Securities CORP.Broker
Associated Securities CORP.
Fsc Securities Corporation
Fsc Securities CorporationBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Lincoln Financial Advisors Corporation
Lincoln Financial Advisors CorporationBroker
The Lincoln National Life Insurance CompanyBroker
State Registrations10 states
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.