Richard Sall (CRD# 1515945) is an Investment Advisor Representative working at Lpl Financial LLC in Duluth, MN and has over 37 years of experience in the finance industry.
CRD# 5369842
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 820126
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 1283578
Split Rock Private Trading And Wealth Management LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Frandsen Bank & Trust | Duluth, MN | Jul 2020 - Current | 3 |
| Lpl Financial LLC | Duluth, MN | Jul 2020 - Current | 3 |
| Voya Financial Advisors | Duluth, MN | Sep 2014 - Jul 2020 | 5 |
| Financial Education Seminars | Duluth, MN | Jun 2000 - Jul 2020 | 20 |
| Northwestern National Life Insurance Com | Duluth, MN | Sep 1988 - Jul 2020 | 31 |
| Otis Magie Ins. Inc. | Duluth, MN | Feb 1997 - Dec 2018 | 21 |
| Ing Financial Partners | Duluth, MN | Jan 2004 - Sep 2014 | 10 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jun 1986 |
| S65 | NASAA Investment Advisors Law Examination | Jun 1998 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- MN
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Total Assets Under Management463,475MILLIONS
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Total Number of Accounts1,910,545ACCOUNTS
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Average Account Value$242,588
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
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