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Kevin Patrick Riley

Charles Schwab & Co., Inc.

Phoenix, AZ

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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
TX RA APPROVED_RES 2021-02-05
CA RA APPROVED 2017-06-22
  • AZ RA
    APPROVED
    Since 2023-06-01
  • TX RA
    APPROVED_RES
    Since 2021-02-05
  • CA RA
    APPROVED
    Since 2017-06-22

Branch Locations

4750 E Francisco, Phoenix, AZ 85044 • 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
Charles Schwab & Co., Inc. Phoenix AZ 06/2015 Present
Charles Schwab Bank Phoenix AZ 06/2017 Present
Other Businesses

CHARLES SCHWAB BANK; INVESTMENT RELATED; PHOENIX, AZ., DUAL EMPLOYEE; 06/01/2017, HOURS VARY; MAY DISCUSS SOME BANK PRODUCTS AND SERVICES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-06-22
S63 Uniform Securities Agent State Law Examination 2016-01-06
  • S66 Uniform Combined State Law Examination
    2017-06-22
  • S63 Uniform Securities Agent State Law Examination
    2016-01-06

View on SEC IAPD

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Other Investors

DAREN MICHAEL FRANKEBERGER
Kenneth ALEXANDER Riley
Jamie L Morton
HEATH EDWARD WHETSEL
Rizwan B Shah
JOSEPH JOHN MCNAUGHTON
Alyssa Shelton
Frank Iustin Mancuso

Other Offices

EW ADVISER, LLC · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
UBS FINANCIAL SERVICES INC. · PHOENIX, AZ
UBS FINANCIAL SERVICES INC. · Phoenix, AZ
UBS FINANCIAL SERVICES INC. · PHOENIX, AZ
KESTRA ADVISORY SERVICES, LLC · PHOENIX, AZ

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