Role at LPL Financial
- Title on Schedule A
- Chief Executive Officer and Director
- Control
- Richard Steinmeier is a control person of LPL Financial.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Richard Steinmeier has held the filed role since August 2018.
The firm
Form ADV filed 21 September 2026
Career on record
Richard Steinmeier has been registered through LPL Financial since August 2018, and before that through Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- Passed Series 24 · 2025
- Passed Series 99TO · 2023
- Passed SIE · 2018
- LPL Financial LLCCurrent– present · 8 yearsRancho Santa Fe, CA · Adviser representative and broker · Firm CRD 6413
- UBS Financial Services Inc.– · 6 yearsWeehawken, NJ · Adviser representative · Firm CRD 8174
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 3 yearsPennington, NJ · Adviser representative · Firm CRD 7691
- Passed Series 66 · 2009
- Passed Series 7, Series 9 and Series 10 · 2008
Registrations and exams
Richard Steinmeier has a current investment-adviser registration in California and has passed 7 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| California | Investment adviser representative | Approved | 17 August 2018 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 2 April 2009 |
| Series 24 | General Securities Principal Examination | 24 June 2025 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 11 September 2008 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 28 August 2008 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 7 August 2008 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Richard C Steinmeier
- CRD
- 5109512
- Registration status
- Investment adviser and broker registrations
- Firm bio
- lpl.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
LPL Financial lists Rich Steinmeier as its chief executive officer. Official firm biography
Common questions
Where does Richard Steinmeier work?
Richard Steinmeier has been Chief Executive Officer and Director of LPL Financial LLC since August 2018, and is a control person of the firm.
Is Richard Steinmeier a financial advisor?
Yes. Richard Steinmeier has a current investment-adviser registration in California, through LPL Financial since August 2018, as of 18 October 2026.
How many years of experience does Richard Steinmeier have?
Richard Steinmeier has worked in the financial industry for 18 years as of 18 October 2026, counted from 19 August 2008, across 3 adviser firms.
What exams has Richard Steinmeier passed?
Richard Steinmeier has passed 7 licensing exams: the Series 7, Series 9, Series 10, Series 66, SIE, Series 99TO and Series 24. The earliest, the Series 7, was passed in August 2008.
Where did Richard Steinmeier work before LPL Financial?
Before LPL Financial, Richard Steinmeier was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, April 2009 to August 2012.
Leadership at LPL Financial
- Matthew Jon AudettePresident and Chief Financial Officer
- James McHaleExecutive Vice President, Chief Compliance Officer
- Judith Kohoskie RickettsExecutive Vice President, Operations and Principal Operations Officer
- Matthew Klaus EnyediGroup Managing Director, Chief Client Officer
- Gregory GatesGroup Managing Director, Chief Product & Technology Officer
- Aneri JambusariaGroup Managing Director, Chief Wealth Officer
- Steven Thomas MalfitanoSVP, Finance Capital Management and Principal Financial Officer
- Matthew Edwin MorningstarGroup Managing Director, Chief Legal Officer
- Brent Blain SimonichManaging Director, Chief Risk Officer, Head of Business Operations