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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

DAVID RILEY

Advisor at LPL FINANCIAL LLC

PORT ST. LUCIE, FL

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Search this name across graphsid dfx:ria:db666417-30ea-2982-050d-39583de9770a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Sep 24, 2004 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: May 6, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: May 6, 1991
First registration: Sep 24, 2004
Dual registered: yes, broker-dealer
Other names: D BRIAN RILEY|BRIAN RILEY|DAVID BRIAN RILEY
IAPD individual key: 2128473

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	Jan 1, 2026	n/a	yes	PORT ST. LUCIE, FL	Current employment
TD PRIVATE CLIENT WEALTH LLC	Bd affiliated wealth	Aug 24, 2023	Sep 27, 2024	no	WEST PALM BEACH, FL\|Sarasota, FL	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	May 13, 2022	Feb 1, 2023	no	WestChester, OH\|SAN DIEGO, CA\|West Chester, OH\|Cincinnati, OH	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Aug 17, 2020	May 13, 2022	no	HAMILTON, OH\|INDEPENDENCE, OH\|HAMILTON, OH	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Mar 17, 2020	no	WEST CHESTER, OH\|CINCINNATI, OH	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Jun 28, 2005	Jan 2, 2009	no	WEST CHESTER, OH\|Hamilton, OH\|Cincinnati, OH	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Sep 24, 2004	Jun 15, 2005	no	CINCINNATI, OH	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
TD PRIVATE CLIENT WEALTH LLC	LPL FINANCIAL LLC	Sep 27, 2024	Jan 1, 2026	461	Firm change after gap	Ibd to ibd
CUSO FINANCIAL SERVICES, L.P.	TD PRIVATE CLIENT WEALTH LLC	Feb 1, 2023	Aug 24, 2023	204	Firm change	Ibd to ibd
EQUITABLE ADVISORS, LLC	CUSO FINANCIAL SERVICES, L.P.	May 13, 2022	May 13, 2022	0	Firm change	Ibd to ibd
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	EQUITABLE ADVISORS, LLC	Mar 17, 2020	Aug 17, 2020	153	Firm change	Ibd to ibd
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other
PNC WEALTH MANAGEMENT	RAYMOND JAMES FINANCIAL SERVICES, INC.	Jun 15, 2005	Jun 28, 2005	13	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6627:42132:OH:2022-05-06	May 13, 2022	May 13, 2022	HAMILTON, OH	Firm change

Relationships

Registered with (7)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 1, 2026 to presentfactForm ADV
→ TD PRIVATE CLIENT WEALTH LLCRegistered adviserregistration: previous registration
Aug 24, 2023 to Sep 27, 2024factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
May 13, 2022 to Feb 1, 2023factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Aug 17, 2020 to May 13, 2022factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Mar 17, 2020factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 28, 2005 to Jan 2, 2009factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Sep 24, 2004 to Jun 15, 2005factForm ADV

Dated events

Occurred
Sep 27, 2024
Advisor changed firm
David Riley left Td Private Client Wealth Llc for Lpl Financial Llc (registered 2026-01-01)
Form ADVobserved 6 days ago
Occurred
Feb 1, 2023
Advisor changed firm
David Riley left Cuso Financial Services, L.P. for Td Private Client Wealth Llc (registered 2023-08-24)
Form ADVobserved 6 days ago
Occurred
May 13, 2022
Advisor changed firm
David Riley left Equitable Advisors, Llc for Cuso Financial Services, L.P. (registered 2022-05-13)
Form ADVobserved 6 days ago