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Inactive

Patrick Keith Riley

Optimal Planning LLC

Concord, NC

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Current Employers
Optimal Planning Llc

1028 Lee-Ann Drive Suite 220, Concord, NC 28025 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2016-08-04
  • NC RA
    APPROVED
    Since 2016-08-04

Branch Locations

1028 Lee-Ann Drive Suite 220, Concord, NC 28025 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Optimal Planning Llc Concord NC 05/2016 Present
Previous Registrations
  • 2013-03-25 → 2016-08-02
    Lpl Financial Llc
    Concord, NC
    San Diego, CA
    Concord, NC
  • 2012-05-16 → 2013-03-28
    Camarda Wealth Advisory Group
    Concord, NC
    Fleming Island, FL
  • 2009-08-07 → 2012-05-29
    Lpl Financial Llc
    Mooresville, NC
    Concord, NC
    San Diego, CA
  • 2007-10-01 → 2009-08-24
    Crown Capital Securities, L.P.
    Concord, NC
  • 2007-01-03 → 2007-10-09
    Quest Capital Strategies, Inc.
    Laguna Hills, CA
    Concord, NC
Other Businesses

Patrick K. Riley is an insurance agent with Wealth Management of the Carolinas. This activity accounts for approximately 20% of his time.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-09-25
S63 Uniform Securities Agent State Law Examination 2001-10-10
  • S65 Uniform Investment Adviser Law Examination
    2006-09-25
  • S63 Uniform Securities Agent State Law Examination
    2001-10-10
Other Names
  • Keith Riley

View on SEC IAPD

Other Firms

KESTRA ADVISORY SERVICES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
FIFTH THIRD SECURITIES, INC.
HORNOR, TOWNSEND & KENT, LLC
LPL FINANCIAL LLC
EDWARD JONES
PARK AVENUE SECURITIES LLC
ALPHASTAR CAPITAL MANAGEMENT

Other Investors

WILLIAM BRIAN KING
Matthew Brandon Leonard
ADAM F SAILERS
BRADLEY PATRICK KONAWALIK
Daniel Paul Boehm
Lexter Stuut Fennell
WILLIAM A HARRIS
Trenton Kenneth Whalen

Other Offices

KESTRA ADVISORY SERVICES, LLC · CONCORD, NC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Concord, NC
FIFTH THIRD SECURITIES, INC. · CONCORD, NC
HORNOR, TOWNSEND & KENT, LLC · Concord, NC
LPL FINANCIAL LLC · CONCORD, NC
EDWARD JONES · CONCORD, NC
PARK AVENUE SECURITIES LLC · CONCORD, NC
ALPHASTAR CAPITAL MANAGEMENT · North Concord, NC

More in Concord, NC

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