Roger Riley
Roger Riley is a registered investment advisor at LPL Financial LLC, based in San Antonio, TX, with 42 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
18756 Stone Oak Pkwy, Ste 200, Office 265, San Antonio, TX, 78258
Get directionsHistory
Regulatory History (2)
Customer Dispute
April 2009Customer Dispute
January 1988Other Business Activities
Roger operates Riley Thompson Wealth Advisors as a DBA for his LPL business. He also has a business entity, Tranquilo Bay #7, LLC, for tax/investment purposes.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Wells Fargo Advisors
Wells Fargo Clearing Services, LLCBroker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Ameriprise Advisor Services, INC.
Ameriprise Advisor Services, INC.Broker
UBS Financial Services INC.Broker
UBS Financial Services INC.
Dean Witter Reynolds INC.Broker
State Registrations19 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.