Larry Roger Riley

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
IN	RA	APPROVED	2007-07-05

IN RA
APPROVED

Since 2007-07-05

Branch Locations

Brownsburg, IN • United States

8465 Keystone Xing Ste 195, Indianapolis, IN 46240 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)	Indianapolis	IN	07/2007	Present

07/2007 → Present

Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)

Indianapolis, IN

Previous Registrations

2007-03-15 → 2007-05-15

Edward Jones

Rensselaer, IN

Other Businesses

1. 7/3/2007 - RILEY FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 3/12/2021 - Brownsburg School Corp. - Not Investment Related - Brownsburg Community School System, 310 Stadium Drive, Brownsburg, IN 46112 - Outside/W-2 Employment - Teacher - Started 02/01/2021 - 32 Hours Per Month/2 Hours During Securities Trading - Teach a business class. 3. 2/2/2022 - Costco Wholesale - Not Investment Related - 8816 Dr. Charles Nelson Drive Avon, IN 46123 - Outside/W-2 Employment - Start Date: 1/24/2021 - 96 Hours Per Month/0 Hours During Securities Trading - Helping customers with questions.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-03-02
S63	Uniform Securities Agent State Law Examination	1989-05-18

S66 Uniform Combined State Law Examination

2007-03-02
S63 Uniform Securities Agent State Law Examination

1989-05-18

Other Names

Roger Riley
Larry Roger Riley
Larry Roger Jr Riley
Larry Roger Riley

View on SEC IAPD