Stephen Bragg Riley

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 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

• 03/2004 → Present
  Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp)
  Rochester, NY

Other Businesses

(1) 3/16/2004 - NON-VARIABLE INSURANCE - SELL FIXED LIFE INSURANCE PRODUCTS THROUGH CAPITAL CARE. - ROCHESTER, NY (2) 08/16/2013 - NOTARY - 1% OF TIME SPENT - ROCHESTER, NY (3) 06/16/2022 - Riley Whalen Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 07/01/2022 - 10 Hours Per Month/ 10 Hours During Securities Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-10-03
• S63 Uniform Securities Agent State Law Examination
  1985-10-29

Other Names

• Stephen Bragg Riley
• Stephen Brian Riley