Daryl Riley
Daryl Riley is a registered investment advisor at LPL Financial LLC, based in Orange, CA, with 39 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
701 S Parker St Ste 6400, Orange, CA, 92868
Get directionsHistory
Regulatory History (3)
Regulatory
June 2012Customer Dispute
May 2009Customer Dispute
May 2009Other 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
LPL Financial LLCBroker
Previous Registrations
Crown Capital Securities, L.P.
Crown Capital Securities, L.P.Broker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Atlas Securities, LLCBroker
Wm Financial Services, INC.
Wm Financial Services, INC.Broker
Wells Fargo Investments, LLCBroker
First Interstate Investments,inc.Broker
Wells Fargo Securities INC.Broker
Marketing One Securities, INC.Broker
Gaf Financial and Insurance ServicesBroker
Pamco Securities and Insurance ServicesBroker
Hamilton, Williams & CO., INC.Broker
Dunham & Greer, INC. Investment CounselBroker
Gna Securities, INC.Broker
MML Investors Services, INC.Broker
Nel Equity Services CorporationBroker
State Registrations2 states
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.