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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

RICHARD MICHAEL MORRIS

Advisor at LPL FINANCIAL LLC

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:ccc9dfcf-c65b-6898-745c-6ea4442870fa

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 25, 2004 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: Oct 29, 1984earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 4
Exams: S66|S63
First exam: Oct 29, 1984
First registration: Mar 25, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 1294966

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	Feb 14, 2018	n/a	yes	MONROE TWP, NJ\|STATEN ISLAND, NY\|LINDEN, NJ\|STATEN ISLAND, NY\|NAPLES, FL\|RINGOES, NJ\|PITTSTOWN, NJ	Current employment
INVEST FINANCIAL CORPORATION	Former SEC adviser	Mar 25, 2004	Feb 16, 2018	no	BROOKLYN, NY\|LINDEN, NJ\|EAST BRUNSWICK, NJ\|EDISON, NJ\|RAHWAY, NJ\|AVENEL, NJ\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|MONROE, NJ\|EAST BRUNSWICK, NJ\|MILLTOWN, NJ\|STATEN ISLAND, NY\|BROOKLYN, NY\|STATEN ISLAND, NY\|BROOKLYN, NY\|STATEN ISLAND, NY\|BROOKLYN, NY\|BROOKLYN, NY\|BROOKLYN, NY\|STATEN ISLAND, NY\|BROOKLYN, NY\|AVENEL, NJ\|RAHWAY, NJ\|LINDEN, NJ\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|MILLTOWN, NJ\|MONROE, NJ\|STATEN ISLAND, NY\|BROOKLYN, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|STATEN ISLAND, NY\|LINDEN, NJ\|MONROE, NJ\|WESTFIELD, NJ\|WOODBRIDGE, NJ\|EAST BRUNSWICK, NJ\|RAHWAY, NJ\|UNION, NJ\|EAST BRUNSWICK, NJ\|LINDEN, NJ\|RAHWAY, NJ\|MONROE, NJ\|AVENEL, NJ\|AVENEL, NJ\|RINGOES, NJ\|FLEMINGTON, NJ\|PRINCETON, NJ\|PITTSTOWN, NJ\|PENNINGTON, NJ\|HAMILTON, NJ\|EWING, NJ\|HOPEWELL, NJ\|PENNINGTON, NJ\|APPLETON, WI\|BROOKLYN, NY\|BROOKLYN, NY\|BROOKLYN, NY\|BROOKLYN, NY	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
INVEST FINANCIAL CORPORATION	LPL FINANCIAL LLC	Feb 16, 2018	Feb 14, 2018	-2	Bulk transfer	Other

Relationships

Registered with (2)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Feb 14, 2018 to presentfactForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Mar 25, 2004 to Feb 16, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ccc9dfcf-c65b-6898-745c-6ea4442870fa
First observed: Mar 25, 2004
Last observed: Sep 15, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

RICHARD MICHAEL MORRIS

Advisor at LPL FINANCIAL LLC

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:ccc9dfcf-c65b-6898-745c-6ea4442870fa

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:46 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL FINANCIAL LLC

Bd affiliated wealth

Feb 14, 2018

n/a

yes

Current employment

INVEST FINANCIAL CORPORATION

Former SEC adviser

Mar 25, 2004

Feb 16, 2018

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

INVEST FINANCIAL CORPORATION

LPL FINANCIAL LLC

Feb 16, 2018

Feb 14, 2018

-2

Bulk transfer

Other