Lance Preston Riley

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2009 → 01/2020
  Rialto Unified School District
  Rialto, CA
• 05/2020 → 06/2023
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Coeur D Alene, ID
• 01/2020 → 05/2020
  Unemployed
  Beaumont, CA
• 06/2020 → 06/2023
  Bank Of America, N.A.
  Coeur D Alene, ID
• 06/2023 → 06/2025
  Lpl Financial
  Spokane Valley, WA
• 06/2023 → 06/2025
  Trustage/Cmg/Cbsi
  Waverly, IA
• 06/2025 → Present
  Lpl Enterprise Llc
  Mercer Island, WA

Previous Registrations

• 2023-06-16 → 2025-06-12
  Lpl Financial Llc
  Spokane Valley, WA
  Coeur D'ALene, ID
  Meridian, ID
• 2020-08-28 → 2023-06-20
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
  Coeur D'ALene, ID
  Seattle, WA
  Spokane, WA

Other Businesses

1) 2026-04-29 - Investment products and services are offered through LPL Enterprise LLC using the DBA/trade name. - Upward Aim Financial - DBA for LPL Business (entity for LPL business) - Y - 160 - 160 - at reported business location(s) - 2026-04-23 - I market my LPL business under this name 2) 2025-06-11 - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Y - 160 - 160 - at reported business location(s) - 2025-05-30 - This OBA is for outside insurance only (i.e. fixed life, LTC, health, etc.). All fixed annuity business must be submitted through LPLE¿s approved annuity order entry system and not conducted as an OBA. P&C insurance must be submitted via separate OBA type. 3) 2025-06-11 - Investment products and services are offered through LPL Enterprise LLC using the DBA/trade name. - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Y - 160 - 160 - at reported business location(s) - 2025-05-30 - Pursuant to a strategic relationship between Prudential, LPL Enterprise, LLC (¿LPLE¿), and LPL Financial LLC (¿LPLF¿), Prudential Advisors financial professionals provide securities brokerage services and/or investment advice on securities solely as registered persons of LPL Enterprise, an affiliate of LPL Financial. LPLE and LPLF are not affiliated with Prudential.

Exams

• S66 Uniform Combined State Law Examination
  2020-08-27
• S63 Uniform Securities Agent State Law Examination
  2012-07-24

Other Names

• Lance Preston Riley