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

RICHARD PREVOST HUBBARD

Advisor at LPL FINANCIAL LLC

STERLING, IL | DAVENPORT, IA

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Search this name across graphsid dfx:ria:0666382d-db40-4c6d-b469-2867e9ce4047

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 10, 1999 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: Feb 5, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 19
Exams: S63|S65
First exam: Feb 5, 1999
First registration: Nov 10, 1999
Dual registered: yes, broker-dealer
Other names: RICHARD HUBBARD
IAPD individual key: 2910167

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	Jul 21, 2021	n/a	yes	DAVENPORT, IA\|STERLING, IL	Current employment
WADDELL & REED	Former SEC adviser	Jan 17, 2008	Jul 21, 2021	no	DAVENPORT, IA\|SHAWNEE, KS\|STERLING, IL\|WAUKESHA, WI\|SAVAGE, MN	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 4, 2007	Jan 8, 2008	no	BATON ROUGE, LA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 27, 2004	May 10, 2005	no	LEES SUMMIT, MO	Previous registration
EDWARD JONES	National bd RIA	Nov 10, 1999	May 19, 2004	no	LEE'S SUMMIT, MO	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
WADDELL & REED	LPL FINANCIAL LLC	Jul 21, 2021	Jul 21, 2021	0	Bulk transfer	Ibd to ibd
CHASE INVESTMENT SERVICES CORP.	WADDELL & REED	Jan 8, 2008	Jan 17, 2008	9	Firm change	Other
LPL FINANCIAL LLC	CHASE INVESTMENT SERVICES CORP.	May 10, 2005	May 4, 2007	724	Firm change after gap	Other
EDWARD JONES	LPL FINANCIAL LLC	May 19, 2004	May 27, 2004	8	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 27, 2004 to May 10, 2005factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Jan 17, 2008 to Jul 21, 2021factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 4, 2007 to Jan 8, 2008factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Nov 10, 1999 to May 19, 2004factForm ADV

Dated events

No dated event names this entity yet.