DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

RICHARD JOHN FERRARO

Advisor at LPL FINANCIAL LLC

WHITE STONE, VA | KILMARNOCK, VA | WILLIAMSBURG, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:034886bd-75fe-887e-071f-72ecd49731aa

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 24, 2003 to Sep 15, 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 FINANCIAL 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 17, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Mar 17, 1999
First registration: Nov 24, 2003
Dual registered: yes, broker-dealer
Other names: RICHARD JOHN FERRARO
IAPD individual key: 3174570

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 FINANCIAL LLC	Bd affiliated wealth	Sep 5, 2025	n/a	yes	WILLIAMSBURG, VA\|WHITE STONE, VA\|KILMARNOCK, VA	Current employment
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Jun 1, 2008	Sep 5, 2025	no	AYLETT, VA\|ASHLAND, VA\|MECHANICSVILLE, VA\|GLOUCESTER POINT, VA\|MECHANICSVILLE, VA\|RICHMOND, VA\|Richmond, VA\|Deltaville, VA\|Newport News, VA\|Kilmarnock, VA	Previous registration
BI INVESTMENTS, LLC	n/a	Aug 23, 2004	Jun 1, 2008	no	GLOUCESTER POINT, VA\|GLOUCESTER POINT, VA	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Nov 24, 2003	Oct 15, 2004	no	GLOUCESTER POINT, VA	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
OSAIC INSTITUTIONS, INC.	LPL FINANCIAL LLC	Sep 5, 2025	Sep 5, 2025	0	Firm change	Ibd to ibd
BI INVESTMENTS, LLC	OSAIC INSTITUTIONS, INC.	Jun 1, 2008	Jun 1, 2008	0	Bulk transfer	Other
UVEST FINANCIAL SERVICES GROUP, INC.	BI INVESTMENTS, LLC	Oct 15, 2004	Aug 23, 2004	-53	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
35371:6413:VA:2025-09-05	Sep 5, 2025	Sep 5, 2025	KILMARNOCK, VA	Firm change

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
Jun 1, 2008 to Sep 5, 2025factForm ADV
→ BI INVESTMENTS, LLCRegistered adviserregistration: previous registration
Aug 23, 2004 to Jun 1, 2008factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Nov 24, 2003 to Oct 15, 2004factForm ADV

Dated events

Occurred
Sep 5, 2025
Advisor changed firm
Richard John Ferraro left Osaic Institutions, Inc. for Lpl Financial Llc (registered 2025-09-05)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:034886bd-75fe-887e-071f-72ecd49731aa
First observed: Nov 24, 2003
Last observed: Sep 15, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

RICHARD JOHN FERRARO

Advisor at LPL FINANCIAL LLC

WHITE STONE, VA | KILMARNOCK, VA | WILLIAMSBURG, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:034886bd-75fe-887e-071f-72ecd49731aa

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:16 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL FINANCIAL LLC

Bd affiliated wealth

Sep 5, 2025

n/a

yes

WILLIAMSBURG, VA|WHITE STONE, VA|KILMARNOCK, VA

Current employment

OSAIC INSTITUTIONS, INC.

Bd affiliated wealth

Jun 1, 2008

Sep 5, 2025

Previous registration

BI INVESTMENTS, LLC

n/a

Aug 23, 2004

Jun 1, 2008

GLOUCESTER POINT, VA|GLOUCESTER POINT, VA

Previous registration

UVEST FINANCIAL SERVICES GROUP, INC.

n/a

Nov 24, 2003

Oct 15, 2004

GLOUCESTER POINT, VA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

OSAIC INSTITUTIONS, INC.

LPL FINANCIAL LLC

Sep 5, 2025

Firm change

Ibd to ibd

BI INVESTMENTS, LLC

OSAIC INSTITUTIONS, INC.

Jun 1, 2008

Bulk transfer

Other

UVEST FINANCIAL SERVICES GROUP, INC.

BI INVESTMENTS, LLC

Oct 15, 2004

Aug 23, 2004

-53

Firm change after gap

Other

Team

Left

Joined

From

Kind

35371:6413:VA:2025-09-05

Sep 5, 2025

KILMARNOCK, VA

Firm change