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RIA / WealthAdvisor46 years in industry

Richard Whitman

Advisor at LPL FINANCIAL LLC

Boca Raton, FL | FORT MILL, SC

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Search this name across graphsid dfx:ria:90466a68-4c56-6b6c-6425-cea676471f16

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 1, 2001 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 2, 1980earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 7
Exams: S63|S65
First exam: Jul 2, 1980
First registration: Jan 1, 2001
Dual registered: no
IAPD individual key: 465770

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 5, 2025	n/a	yes	Boca Raton, FL\|FORT MILL, SC	Current employment
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Jan 11, 2019	Jun 5, 2025	no	Glen Rock, NJ\|Pasadena, CA\|Glen Rock, NJ\|Massapequa, NY\|Glen Rock, NJ\|Boca Raton, FL\|Glen Rock, NJ	Previous registration
BENCHMARK CAPITAL ADVISORS LLC	Former SEC adviser	Oct 10, 2018	Dec 31, 2018	no	Glen Rock, NJ	Previous registration
BENCHMARK CAPITAL ADVISORS, INC.	Former SEC adviser	Aug 7, 2015	Sep 25, 2018	no	GLEN ROCK, NJ\|NEW YORK, NY	Previous registration
PALISADE CAPITAL MANAGEMENT, LP	Mixed wealth	Jan 1, 2001	Aug 3, 2005	no	FORT LEE, NJ	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
WESTERN INTERNATIONAL SECURITIES	LPL FINANCIAL LLC	Jun 5, 2025	Jun 5, 2025	0	Bulk transfer	Ibd to ibd
BENCHMARK CAPITAL ADVISORS LLC	WESTERN INTERNATIONAL SECURITIES	Dec 31, 2018	Jan 11, 2019	11	Firm change	RIA to RIA
BENCHMARK CAPITAL ADVISORS, INC.	BENCHMARK CAPITAL ADVISORS LLC	Sep 25, 2018	Oct 10, 2018	15	Channel change	RIA to RIA
PALISADE CAPITAL MANAGEMENT, LP	BENCHMARK CAPITAL ADVISORS, INC.	Aug 3, 2005	Aug 7, 2015	3,656	Firm change after gap	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 5, 2025 to presentfactForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Jan 11, 2019 to Jun 5, 2025factForm ADV
→ BENCHMARK CAPITAL ADVISORS LLCRegistered adviserregistration: previous registration
Oct 10, 2018 to Dec 31, 2018factForm ADV
→ BENCHMARK CAPITAL ADVISORS, INC.Registered adviserregistration: previous registration
Aug 7, 2015 to Sep 25, 2018factForm ADV
→ PALISADE CAPITAL MANAGEMENT, LPRegistered adviserregistration: previous registration
Jan 1, 2001 to Aug 3, 2005factForm ADV

Dated events

No dated event names this entity yet.