CHARLA SUE RILEY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 201 SANDPOINTE AVE STE 460, WEST TOWER SUITE 3000, SANTA ANA, CA, 92707.

CHARLA SUE RILEY has worked at LPL FINANCIAL LLC since January 16, 2009

Disclosure History

CHARLA SUE RILEY has 1 Disclosure Event(s).

Date: February 15, 2013
Category: Customer Dispute
Damage Amount Requested: $60,000.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for CHARLA SUE RILEY, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.