DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

RICHARD DEAN MITCHELL

Advisor at LPL FINANCIAL LLC

SAN DIEGO, CA | POWAY, CA | TEMECULA, CA

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:2ee0f91c-c958-d662-0bd2-831c36353548

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 28, 2006 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 30, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Jul 30, 2001
First registration: Sep 28, 2006
Dual registered: yes, broker-dealer
Other names: RICK MITCHELL|RICHARD DEAN MITCHELL|RICHARD DEAN MITCHELL
IAPD individual key: 4425876

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	Aug 28, 2014	n/a	yes	SAN DIEGO, CA\|POWAY, CA\|SAN DIEGO, CA\|TEMECULA, CA	Current employment
WADDELL & REED	Former SEC adviser	Jul 23, 2012	Aug 13, 2014	no	RIVERSIDE, CA\|SCOTTSDALE, AZ\|PEORIA, AZ\|TORRANCE, CA\|SCOTTSDALE, AZ	Previous registration
UNIFIED WEALTH MANAGEMENT, LLC	Former SEC adviser	Jun 30, 2009	Jul 24, 2012	no	SCOTTSDALE, AZ\|SCOTTSDALE, AZ	Previous registration
THE PLANNING GROUP	Former SEC adviser	Sep 26, 2008	Dec 9, 2008	no	SCOTTSDALE, AZ	Previous registration
VANGUARD ADVISERS, INC.	Bd affiliated wealth	Sep 28, 2006	Nov 12, 2008	no	SCOTTSDALE, AZ	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	Aug 13, 2014	Aug 28, 2014	15	Firm change	Other
UNIFIED WEALTH MANAGEMENT, LLC	WADDELL & REED	Jul 24, 2012	Jul 23, 2012	-1	Firm change	Other
THE PLANNING GROUP	UNIFIED WEALTH MANAGEMENT, LLC	Dec 9, 2008	Jun 30, 2009	203	Firm change	Other
VANGUARD ADVISERS, INC.	THE PLANNING GROUP	Nov 12, 2008	Sep 26, 2008	-47	Firm change after gap	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Aug 28, 2014 to presentfactForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Jul 23, 2012 to Aug 13, 2014factForm ADV
→ UNIFIED WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 30, 2009 to Jul 24, 2012factForm ADV
→ THE PLANNING GROUPRegistered adviserregistration: previous registration
Sep 26, 2008 to Dec 9, 2008factForm ADV
→ VANGUARD ADVISERS, INC.Registered adviserregistration: previous registration
Sep 28, 2006 to Nov 12, 2008factForm ADV

Dated events

No dated event names this entity yet.