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Daryl Winfield Riley

LPl Financial LLC

Orange, 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 2024-05-01
  • CA RA
    APPROVED
    Since 2024-05-01

Branch Locations

701 S Parker St Ste 6400, Orange, CA 92868 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Crown Capital Securities, Lp Orange CA 06/2009 05/2024
Fitness Instructor La Habra CA 01/2021 Present
Lpl Financial Llc Orange CA 05/2024 Present
  • 06/2009 → 05/2024
    Crown Capital Securities, Lp
    Orange, CA
  • 01/2021 → Present
    Fitness Instructor
    La Habra, CA
  • 05/2024 → Present
    Orange, CA
Previous Registrations
  • 2009-06-03 → 2024-05-01
    Crown Capital Securities, L.P.
    Orange, CA
    Los Angeles, CA
    La Habra, CA
    Arcadia, CA
    Orange, CA
  • 2007-02-02 → 2009-05-26
    Toluca Lake, CA
    Arcadia, CA
    Pasadena, CA
    Los Angeles, CA
  • 2002-05-31 → 2003-04-16
    Wamu Investments, Inc.
    Santa Monica, CA
Other Businesses

1. 05/01/2024 - Daryl Riley - Coach/sports/Fitness - Teach - Not Investment Related - Home Based - Start Date 04/19/2018 - 10 Hours Per Month/ 4 Hours During Trading 2. 05/01/2024 - Fixed insurance - Trails Only - Non-Variable Insurance Trails Only - Investment Related - Home Based - Start Date 02/01/2008

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2008-11-07
S65 Uniform Investment Adviser Law Examination 2007-01-30
  • S63 Uniform Securities Agent State Law Examination
    2008-11-07
  • S65 Uniform Investment Adviser Law Examination
    2007-01-30
Other Names
  • Darryl Winfield Riley

View on SEC IAPD

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