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

RICHARD MASON LAWRENCE

Advisor at LPL FINANCIAL LLC

MERCER ISLAND, WA

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Search this name across graphsid dfx:ria:2c8f31e1-b168-b84c-57c0-99e0f9d43720

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 4, 2000 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 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: Jul 22, 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: 2
Exams: S65|S63
First exam: Jul 22, 1999
First registration: May 4, 2000
Dual registered: yes, broker-dealer
Other names: RICH LAWRENCE
IAPD individual key: 3259039

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	Oct 1, 2020	n/a	yes	MERCER ISLAND, WA	Current employment
EK RILEY INVESTMENTS, LLC	Former SEC adviser	May 30, 2008	Nov 6, 2020	no	MERCER ISLAND, WA\|Mercer Island, WA\|Seattle, WA\|SEATTLE, WA\|SEATTLE, WA	Previous registration
EK RILEY ADVISORS, LLC	n/a	Jul 15, 2005	Dec 31, 2007	no	SEATTLE, WA	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	May 17, 2004	Jul 19, 2005	no	MERCER ISLAND, WA	Previous registration
RAGEN MACKENZIE INVESTMENT SERVICES, LLC	n/a	May 4, 2000	May 17, 2004	no	MERCER ISLAND, WA	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
EK RILEY INVESTMENTS, LLC	LPL FINANCIAL LLC	Nov 6, 2020	Oct 1, 2020	-36	Bulk transfer	RIA to ibd
EK RILEY ADVISORS, LLC	EK RILEY INVESTMENTS, LLC	Dec 31, 2007	May 30, 2008	151	Firm change	Other
FIRST ALLIED SECURITIES, INC.	EK RILEY ADVISORS, LLC	Jul 19, 2005	Jul 15, 2005	-4	Firm change	Other
RAGEN MACKENZIE INVESTMENT SERVICES, LLC	FIRST ALLIED SECURITIES, INC.	May 17, 2004	May 17, 2004	0	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 1, 2020 to presentfactForm ADV
→ EK RILEY INVESTMENTS, LLCRegistered adviserregistration: previous registration
May 30, 2008 to Nov 6, 2020factForm ADV
→ EK RILEY ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 15, 2005 to Dec 31, 2007factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
May 17, 2004 to Jul 19, 2005factForm ADV
→ RAGEN MACKENZIE INVESTMENT SERVICES, LLCRegistered adviserregistration: previous registration
May 4, 2000 to May 17, 2004factForm ADV

Dated events

No dated event names this entity yet.