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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Richey is a financial advisor with LPL Financial LLC. He is based in Seal Beach, California, and has been working in the financial industry since July 1993. Charles has a wide range of experience in the financial industry and holds Series 7, Series 63, and Series 65 licenses. He is also registered with FINRA and the SEC, and is an active member of the investment community. Charles provides investment advice to a diverse clientele, including individuals, families, and businesses. He specializes in helping clients with retirement planning, wealth management, and estate planning. His commitment to providing clients with personalized service and a tailored approach to their financial needs has earned him a strong reputation in the industry.
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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2
CA
10/01/2020 - Present
LPL Financial LLC (SEAL BEACH CA)
CA
07/22/2011 - 11/06/2020
EK RILEY INVESTMENTS, LLC (Seal Beach CA)
CA
06/01/2009 - 08/04/2011
MORGAN STANLEY SMITH BARNEY (LONG BEACH CA)
WA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SEATTLE WA)
WA
02/02/2001 - 04/02/2007
MORGAN STANLEY DW INC. (SEATTLE WA)
NJ
01/28/1995 - 02/14/2001
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
07/02/1993 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 07/30/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/19/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/01/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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