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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

Richard A Bagby

Advisor at LPL ENTERPRISE, LLC

SOUTHBOROUGH, MA

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Search this name across graphsid dfx:ria:017551cb-ec30-cccc-7aa5-4f96b4941045

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Jun 21, 2022 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL ENTERPRISE, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 1, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65|S66
First exam: Mar 21, 2007
First registration: Jun 21, 2022
Dual registered: yes, broker-dealer
Other names: Richard A. Bagby|Rick Bagby|Richard Alan Bagby|Richard Bagby|Rick A Bagby|Rick Alan Bagby
IAPD individual key: 2026282

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL ENTERPRISE, LLC	Bd affiliated wealth	Jul 2, 2026	n/a	yes	SOUTHBOROUGH, MA	Current employment
EDWARD JONES	National bd RIA	Jul 17, 2024	Aug 4, 2025	no	NORWELL, MA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Sep 27, 2023	Jul 2, 2024	no	Hingham, MA	Previous registration
JOHNSON BRUNETTI	Independent wealth	Mar 30, 2023	Aug 11, 2023	no	Needham, MA\|WETHERSFIELD, CT	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jun 21, 2022	Jan 4, 2023	no	SMITHFIELD, RI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EDWARD JONES	LPL ENTERPRISE, LLC	Aug 4, 2025	Jul 2, 2026	332	Firm change	Ibd to ibd
J.P. MORGAN SECURITIES LLC	EDWARD JONES	Jul 2, 2024	Jul 17, 2024	15	Firm change	Wirehouse to ibd
JOHNSON BRUNETTI	J.P. MORGAN SECURITIES LLC	Aug 11, 2023	Sep 27, 2023	47	Firm change	RIA to wirehouse
FIDELITY PERSONAL AND WORKPLACE ADVISORS	JOHNSON BRUNETTI	Jan 4, 2023	Mar 30, 2023	85	Firm change	Ibd to RIA

Relationships

Registered with (5)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Jul 2, 2026 to presentfactForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Jul 17, 2024 to Aug 4, 2025factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Sep 27, 2023 to Jul 2, 2024factForm ADV
→ JOHNSON BRUNETTIRegistered adviserregistration: previous registration
Mar 30, 2023 to Aug 11, 2023factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jun 21, 2022 to Jan 4, 2023factForm ADV

Dated events

Occurred
Aug 4, 2025
Advisor changed firm
Richard A Bagby left Edward Jones for Lpl Enterprise, Llc (registered 2026-07-02)
Form ADVobserved 5 days ago
Occurred
Jul 2, 2024
Advisor changed firm
Richard A Bagby left J.P. Morgan Securities Llc for Edward Jones (registered 2024-07-17)
Form ADVobserved 5 days ago
Occurred
Aug 11, 2023
Advisor changed firm
Richard A Bagby left Johnson Brunetti for J.P. Morgan Securities Llc (registered 2023-09-27)
Form ADVobserved 5 days ago
Occurred
Jan 4, 2023
Advisor changed firm
Richard A Bagby left Fidelity Personal And Workplace Advisors for Johnson Brunetti (registered 2023-03-30)
Form ADVobserved 5 days ago