Richard Ohlrich has been Chief Compliance Officer of RFG Advisory since February 2022, is a control person of the firm and directly owns under 5% of it.
RFG Advisory, LLC is a Vestavia Hills, AL firm with $7.97B under management, 17,410 clients and 178 advisers across 72 offices, as of its September 2026 filing.
Richard Ohlrich’s longest registration was 5 years at LPL Financial LLC (2010–2015). Before joining RFG Advisory in 2022, Richard Ohlrich was registered through LPL Financial LLC and Center for Wealth Planning Advisors, Inc.
- RFG Advisory, LLCCurrent– present · 4 yearsVestavia Hills, AL · Adviser representative · Firm CRD 158401
- LPL Financial LLC– · 4 yearsTroy, MI · Adviser representative · Firm CRD 6413
- Center for Wealth Planning Advisors, Inc– · 2 yearsTroy, MI · Adviser representative · Firm CRD 173312
- LPL Financial LLC– · 5 yearsTroy, MI · Adviser representative · Firm CRD 6413
- Mutual Service Corporation– · under a yearWest Palm Beach, FL · Adviser representative · Firm CRD 4806
Investment adviser representative registrations
Richard Ohlrich is registered as an investment adviser representative in 2 states, as a resident of Texas. Each was approved in January 2022.
- AlabamaSince 31 January 2022
- TexasResidentSince 31 January 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 2 June 2009 |
| Series 53 | Municipal Securities Principal Examination | 18 May 2004 |
| Series 24 | General Securities Principal Examination | 29 August 1994 |
| Series 7 | General Securities Representative Examination | 27 July 1994 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 24 December 1992 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 22 September 1992 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 August 1992 |
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Richard Henry Ohlrich
- CRD
- 2091824
- Firm
- RFG Advisory · CRD 158401
- Role
- Chief Compliance Officer
- Office
- 1400 URBAN CENTER DRIVE, SUITE 475, Vestavia Hills, AL 35242
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 1993
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Richard Ohlrich work?
Richard Ohlrich has been Chief Compliance Officer of RFG Advisory, LLC since February 2022, and is a control person of the firm.
Is Richard Ohlrich a financial advisor?
Yes. Richard Ohlrich has a current investment-adviser registration in Alabama and Texas, through RFG Advisory since January 2022.
How many years of experience does Richard Ohlrich have?
Richard Ohlrich has 33 years in the financial industry, since March 1993, across 4 adviser firms.
What exams has Richard Ohlrich passed?
Richard Ohlrich has passed 8 licensing exams: the Series 63, Series 6, Series 26, Series 7, Series 24, Series 53, Series 66 and Series 52TO. The earliest, the Series 63, was passed in August 1992. FINRA credited Richard Ohlrich with the SIE, which began in October 2018.
Where did Richard Ohlrich work before RFG Advisory?
Before RFG Advisory, Richard Ohlrich was registered through Center for Wealth Planning Advisors, Inc, January 2015 to September 2017; LPL Financial LLC, January 2010 to November 2015; Mutual Service Corporation, June 2009 to October 2009.
Where is Richard Ohlrich based?
Richard Ohlrich’s registered office is in Vestavia Hills, AL.
Is Richard Ohlrich registered with FINRA?
Yes. Richard Ohlrich has a current broker registration, under CRD 2091824.
Source: FINRA BrokerCheck
How can I verify Richard Ohlrich’s record?
Search CRD 2091824 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Richard Ohlrich’s full registration record.
