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Denice Karen Riley

LPl Financial LLC

Oakdale, MN

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2019-05-15
  • MN RA
    APPROVED
    Since 2019-05-15

Branch Locations

928 Inwood Avenue, Oakdale, MN 55128 • 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
Ameriprise Financial Services, Inc. Lake Elmo MN 03/2014 05/2019
Lpl Financial, Llc Oakdale MN 05/2019 Present
  • 03/2014 → 05/2019
    Ameriprise Financial Services, Inc.
    Lake Elmo, MN
  • 05/2019 → Present
    Oakdale, MN
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-07-23
S63 Uniform Securities Agent State Law Examination 2000-05-25
  • S65 Uniform Investment Adviser Law Examination
    2015-07-23
  • S63 Uniform Securities Agent State Law Examination
    2000-05-25
Other Names
  • Denice Karen Sterba

View on SEC IAPD

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