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Charles Mitchell Richey

LPl Financial LLC

Seal Beach, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-16
TX RA APPROVED_RES 2020-10-01
  • CA RA
    APPROVED
    Since 2025-01-16
  • TX RA
    APPROVED_RES
    Since 2020-10-01

Branch Locations

500 Pacific Coast Hwy, Ste 206, Seal Beach, CA 90740 • 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
E.K. Riley Investments, Llc. Seattle WA 07/2011 11/2020
Lpl Financial Llc Seal Beach CA 10/2020 Present
  • 07/2011 → 11/2020
    E.K. Riley Investments, Llc.
    Seattle, WA
  • 10/2020 → Present
    Lpl Financial Llc
    Seal Beach, CA
Previous Registrations
  • 2011-07-22 → 2020-11-06
    Ek Riley Investments, Llc
    Seal Beach, CA
    Seattle, WA
    Seattle, WA
    Seattle, WA
    Seattle, WA
  • 2009-06-01 → 2011-08-04
    Morgan Stanley
    Seattle, WA
    Long Beach, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Seattle, WA
  • 2001-04-16 → 2007-04-02
    Morgan Stanley Dw Inc.
    Seattle, WA
    Seattle, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-07-30
S63 Uniform Securities Agent State Law Examination 1993-07-19
  • S65 Uniform Investment Adviser Law Examination
    1993-07-30
  • S63 Uniform Securities Agent State Law Examination
    1993-07-19

View on SEC IAPD

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Other Investors

MARK KROGULSKI
SHELLEY L CHIDLEY
Richard St John Medina
Hisela Chinchay
Stephen K Moore
Nolan Philip Dunn
STEVE MICHAEL NIGOGHOSSIAN
Hanna M Weintraub

Other Offices

CHARLES SCHWAB & CO., INC. · Seal Beach, CA
J.P. MORGAN SECURITIES LLC · SEAL BEACH, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SEAL BEACH, CA
UBS FINANCIAL SERVICES INC. · SEAL BEACH, CA
LPL FINANCIAL LLC · SEAL BEACH, CA
OSAIC WEALTH, INC. · SEAL BEACH, CA
AMIP MANAGEMENT · SEAL BEACH, CA
MY PORTFOLIO GUIDE, LLC · SEAL BEACH, CA

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