Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charla? Claim Your ProfileCharla Sue Riley is an investment advisor representative, registered with LPL Financial LLC since January 2009. Charla has been in the securities industry since July 2000. Prior to joining LPL Financial LLC, Charla worked for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and UBS FINANCIAL SERVICES INC. Charla is currently licensed in California and is also licensed in Florida, Maine, Ohio, and Tennessee. Charla specializes in portfolio management for individuals and businesses, as well as financial planning and pension consulting.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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CA
01/16/2009 - Present
LPL Financial LLC (SANTA ANA CA)
CA
09/22/2006 - 01/26/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BREA CA)
CA
07/17/2000 - 10/03/2006
UBS FINANCIAL SERVICES INC. (NEWPORT BEACH CA)
BOTH
Issued 08/14/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/14/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/14/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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