Best Investors Account Sign in

Troy E Riley

Charles Schwab & Co., Inc.

Phoenix, AZ

CRD 6454077

Claim This Profile
Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

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

Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-06-01
CA RA APPROVED 2018-09-19
  • AZ RA
    APPROVED
    Since 2023-06-01
  • CA RA
    APPROVED
    Since 2018-09-19

Branch Locations

2423 E Lincoln Dr, Phoenix, AZ 85016-1215 • 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
Bank Of America Chandler AZ 03/2006 08/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler AZ 02/2015 08/2018
Charles Schwab & Co., Inc. Phoenix AZ 08/2018 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-05-01
  • S66 Uniform Combined State Law Examination
    2015-05-01

View on SEC IAPD

Nearby Firms

EW ADVISER, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
UBS FINANCIAL SERVICES INC.

Nearby Investors

DAREN MICHAEL FRANKEBERGER
Kenneth ALEXANDER Riley
Jamie L Morton

Nearby Offices

EW ADVISER, LLC · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ

More in Phoenix, AZ

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor