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

RICHARD ANDREW GILLES

Advisor at LPL FINANCIAL LLC

ROCK HILL, SC

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Search this name across graphsid dfx:ria:547f1861-0311-6d52-4eee-79f7a69ab010

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 26, 2004 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: Jan 23, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jan 23, 2004
First registration: Jan 26, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4733263

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	Jun 27, 2025	n/a	yes	ROCK HILL, SC	Current employment
WELLS FARGO ADVISORS	Wirehouse	Mar 1, 2012	Jul 2, 2025	no	CHARLOTTE, NC	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Mar 5, 2012	no	CHARLOTTE, NC\|CHARLOTTE, NC	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 21, 2006	Jun 1, 2009	no	CHARLOTTE, NC\|NEW YORK, NY	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Jan 26, 2004	Feb 21, 2006	no	CHARLOTTE-SOUTH PARK, NC	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
WELLS FARGO ADVISORS	LPL FINANCIAL LLC	Jul 2, 2025	Jun 27, 2025	-5	Firm change	Wirehouse to ibd
MORGAN STANLEY	WELLS FARGO ADVISORS	Mar 5, 2012	Mar 1, 2012	-4	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
LEGG MASON WOOD WALKER, INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Feb 21, 2006	Feb 21, 2006	0	Bulk transfer	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 27, 2025 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 1, 2012 to Jul 2, 2025factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Mar 5, 2012factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 21, 2006 to Jun 1, 2009factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Jan 26, 2004 to Feb 21, 2006factForm ADV

Dated events

Occurred
Jul 2, 2025
Advisor changed firm
Richard Andrew Gilles left Wells Fargo Advisors for Lpl Financial Llc (registered 2025-06-27)
Form ADVobserved 6 days ago