Rick
Spalding

Lpl Financial LLC

CRD#3274366
Investment Advisor
in Fremont, NE

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About this Advisor

Rick Spalding is a financial advisor located in Fremont, Nebraska. Currently a registered advisor at Lpl Financial LLC, Spalding has 16 years of professional experience. Spalding maintains Series 63 and Series 66 licenses, which qualify them as a securities representative. Spalding is able to act as a financial advisor in Nebraska and Texas. Over the course of their career, they have held roles at Securities America, Inc, Securities America Advisors Inc, Rick Spalding and Lpl Financial LLC. Lpl Financial LLC is located in Fremont, Nebraska, and has 9,519 additional brick-and-mortar locations in the United States. In aggregate, Lpl Financial LLC manages $208 billion in assets across 892,326 accounts and retains more than 23,035 people. The level of assets currently under the firm's management places it among the biggest firms in the United States. The firm manages 890,301 accounts on a discretionary basis, meaning the advisor makes all of the buying and selling decisions on the client's behalf. Currently 28% of the advisory firm's investors are high-net-worth individuals, meaning they have more than $1 million in investable assets. Lpl Financial LLC provides financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, educational seminars and other services. The firm's fees may include asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 66

Years of Experience

16 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops, Other

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions

Disclosures

No

Office Location

640 E. 22Nd, Ste. A
Fremont, NE 68025

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Lpl Financial LLC Brokerage Details

Total Assets Under Management

$207,793,164,246

NE Average: $646,059,043
Total Number of Employees

23,035

NE Average: 13
Total Number of Accounts

892,326

NE Average: 661
Average Account Size

$232,867

NE Average: $977,396

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops
  • Other

Rick Spalding Work History

Rick has 16 years of experience.

2020 - Present (1 year)

Lpl Financial LLC

2006 - 2020 (14 years)

Securities America Advisors Inc

2005 - 2020 (15 years)

Securities America, Inc

2004 - 2020 (16 years)

Rick Spalding

Disclosures

Rick Spalding has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Lpl Financial LLC

Eric Matthews
Fort Mill, SC
James Dannel
Knoxville, TN
John Fitch
Charlotte, NC
Robert Wilson
Providence Forge, VA
Matthew Schultz
Fargo, ND
Brett Hudson
Sedalia, MO
Brian Fahrner
Des Plaines, IL
Andrew Fraser
Austin, TX

This content was compiled from the SEC and FINRA.

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