Richard Bruce Plum
Investment adviser representative at LPL Financial LLC
39 yearsExperience
2 statesRegistered in
CFP® certificationDesignation
$819.1BFirm assets
Are you Richard Bruce Plum? Claim your profile
Contact this firm
How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
39 years in the industry.
- LPL Financial, LLCSep 2020 to now
- Lucia Securities, LLCAug 2013 to now
- Rjl Wealth Management, LLCApr 2010 to now
- Richard Plum InsuranceJan 1987 to now
Designations
- CFP® certification
Exams passed
- Series 63 · Uniform Securities Agent State Law1989
State registrations
Registered as an investment adviser representative in 2 states (CA, TX).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 1820237
- Firm CRD
- 6413