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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

CHARLES MITCHELL RICHEY

Advisor at LPL FINANCIAL LLC

SEAL BEACH, CA

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Search this name across graphsid dfx:ria:3c7bd8ce-e0e3-18de-1eaa-86f8bddaf9e3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 16, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 19, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jul 19, 1993
First registration: Apr 16, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 2349108

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 1, 2020	n/a	yes	SEAL BEACH, CA	Current employment
EK RILEY INVESTMENTS, LLC	Former SEC adviser	Jul 22, 2011	Nov 6, 2020	no	Seal Beach, CA\|SEATTLE, WA\|Seattle, WA\|Seattle, WA\|SEATTLE, WA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Aug 4, 2011	no	Seattle, WA\|LONG BEACH, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	SEATTLE, WA	Previous registration
MORGAN STANLEY DW INC.	n/a	Apr 16, 2001	Apr 2, 2007	no	SEATTLE, WA\|SEATTLE, WA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EK RILEY INVESTMENTS, LLC	LPL FINANCIAL LLC	Nov 6, 2020	Oct 1, 2020	-36	Bulk transfer	RIA to ibd
MORGAN STANLEY	EK RILEY INVESTMENTS, LLC	Aug 4, 2011	Jul 22, 2011	-13	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 1, 2020 to presentfactForm ADV
→ EK RILEY INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jul 22, 2011 to Nov 6, 2020factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Aug 4, 2011factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Apr 16, 2001 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.