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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

RICHARD VERNON PINTO

Advisor at LPL FINANCIAL LLC

KANEOHE, HI

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Search this name across graphsid dfx:ria:e84ea2c6-4911-2a87-0523-5b88e3b67f4f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 11, 2008 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: Dec 8, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom 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: S63|S66
First exam: Dec 8, 1999
First registration: Apr 11, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 4064269

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	Jan 25, 2025	n/a	yes	KANEOHE, HI	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Sep 1, 2023	Jan 28, 2025	no	KANEOHE, HI	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Feb 6, 2015	Sep 1, 2023	no	HONOLULU, HI\|SCOTTSDALE, AZ\|KANEOHE, HI	Previous registration
VSR ADVISORY SERVICES	Former SEC adviser	Aug 5, 2009	Feb 2, 2015	no	OVERLAND PARK, KS\|HONOLULU, HI	Previous registration
INSPHERE SECURITIES, INC.	n/a	Apr 11, 2008	Aug 6, 2009	no	MLILANI, HI	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
OSAIC WEALTH, INC.	LPL FINANCIAL LLC	Jan 28, 2025	Jan 25, 2025	-3	Firm change	Ibd to ibd
SAGEPOINT FINANCIAL, INC.	OSAIC WEALTH, INC.	Sep 1, 2023	Sep 1, 2023	0	Bulk transfer	Ibd to ibd
VSR ADVISORY SERVICES	SAGEPOINT FINANCIAL, INC.	Feb 2, 2015	Feb 6, 2015	4	Firm change	Other
INSPHERE SECURITIES, INC.	VSR ADVISORY SERVICES	Aug 6, 2009	Aug 5, 2009	-1	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
23131:6413:HI:2025-01-28	Jan 28, 2025	Jan 25, 2025	KANEOHE, HI	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 25, 2025 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Sep 1, 2023 to Jan 28, 2025factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Feb 6, 2015 to Sep 1, 2023factForm ADV
→ VSR ADVISORY SERVICESRegistered adviserregistration: previous registration
Aug 5, 2009 to Feb 2, 2015factForm ADV
→ INSPHERE SECURITIES, INC.Registered adviserregistration: previous registration
Apr 11, 2008 to Aug 6, 2009factForm ADV

Dated events

Occurred
Jan 28, 2025
Advisor changed firm
Richard Vernon Pinto left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2025-01-25)
Form ADVobserved 6 days ago