Roger Bruce 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

• 06/2014 → 11/2016
  Wells Fargo Advisors Llc
  San Antonio, TX
• 11/2016 → 03/2025
  Wells Fargo Clearing Services, Llc
  San Antonio, TX
• 03/2025 → Present
  Lpl Financial Llc
  San Antonio, TX

Previous Registrations

• 2014-06-30 → 2025-03-24
  Wells Fargo Clearing Services, Llc
  San Antonio, TX
• 2009-10-05 → 2014-06-12
  Ameriprise Financial Services, Llc
  San Antonio, TX
• 2009-05-01 → 2009-10-05
  Ameriprise Advisor Services, Inc.
  San Antonio, TX
• 1987-05-05 → 2009-05-04
  Ubs Financial Services Inc.
  San Antonio, TX
  San Antonio, TX

Other Businesses

1)03/03/2025 - Riley Thompson Wealth Advisors - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)03/03/2025 - Tranquilo Bay #7, LLC - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - Horseshoe Bay, TX - Start: 03/2024

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-01-17
• S63 Uniform Securities Agent State Law Examination
  1984-02-21