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Daryl Riley

LPL Financial LLC
39 Years of Experience
Orange, CA
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Daryl Riley is a registered investment advisor at LPL Financial LLC, based in Orange, CA, with 39 years of industry experience. Daryl is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

701 S Parker St Ste 6400, Orange, CA, 92868

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
June 2012
Final
Customer Dispute
May 2009
Settled
Customer Dispute
May 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Daryl coaches sports/fitness, dedicating a few hours per week to this home-based activity. He also receives trails for fixed insurance products.

Employment History
Current Registrations
LPL Financial LLC
May 2024 - Present · 2 yrs 5 mos
LPL Financial LLCBroker
May 2024 - Present · 2 yrs 5 mos
Previous Registrations
Crown Capital Securities, L.P.
June 2009 - May 2024 · 14 yrs 11 mos
Crown Capital Securities, L.P.Broker
June 2009 - May 2024 · 14 yrs 11 mos
Wells Fargo Advisors, LLC
February 2007 - May 2009 · 2 yrs 3 mos
Wells Fargo Advisors, LLCBroker
February 2007 - May 2009 · 2 yrs 3 mos
Atlas Securities, LLCBroker
June 2003 - February 2007 · 3 yrs 8 mos
Wm Financial Services, INC.
May 2002 - April 2003 · 11 mos
Wm Financial Services, INC.Broker
April 2002 - April 2003 · 1 yr
Wells Fargo Investments, LLCBroker
June 2001 - April 2002 · 10 mos
First Interstate Investments,inc.Broker
June 1996 - September 1996 · 3 mos
Wells Fargo Securities INC.Broker
November 1993 - July 1999 · 5 yrs 8 mos
Marketing One Securities, INC.Broker
December 1990 - November 1993 · 2 yrs 11 mos
Gaf Financial and Insurance ServicesBroker
February 1989 - September 1990 · 1 yr 7 mos
Pamco Securities and Insurance ServicesBroker
February 1989 - August 1990 · 1 yr 6 mos
Hamilton, Williams & CO., INC.Broker
November 1988 - December 1988 · 1 mo
Dunham & Greer, INC. Investment CounselBroker
August 1988 - November 1988 · 3 mos
Gna Securities, INC.Broker
May 1987 - February 1988 · 9 mos
MML Investors Services, INC.Broker
June 1984 - May 1987 · 2 yrs 11 mos
Nel Equity Services CorporationBroker
November 1983 - May 1984 · 6 mos
State Registrations2 states
CAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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