Patrick K. Riley

OPTIMAL PLANNING LLC

Concord, NC 28025

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CRD#: 4434612

Professional summary

Patrick Keith Riley, who also goes by Keith Riley, is a registered financial advisor currently at OPTIMAL PLANNING LLC located in Concord, North Carolina.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Patrick has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Keith Riley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Keith Riley's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 4, 2016 - Present

OPTIMAL PLANNING LLC

Office #1: 1028 Lee-ann Drive Suite 220, Concord, NC 28025

RIA

CRD#: 283885

Concord, NC

Past

March 28, 2013 - August 2, 2016

LPL FINANCIAL LLC

CRD#: 6413

CONCORD, NC

Past

March 25, 2013 - August 2, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

CONCORD, NC

Past

May 16, 2012 - March 28, 2013

CAMARDA WEALTH ADVISORY GROUP

RIA

CRD#: 113784

CONCORD, NC

Past

August 7, 2009 - May 29, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

CONCORD, NC

Past

August 7, 2009 - May 29, 2012

LPL FINANCIAL LLC

CRD#: 6413

CONCORD, NC

Past

October 1, 2007 - August 24, 2009

CROWN CAPITAL SECURITIES, L.P.

RIA

CRD#: 6312

CONCORD, NC

Past

October 1, 2007 - August 24, 2009

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

CONCORD, NC

Past

January 3, 2007 - October 9, 2007

QUEST CAPITAL STRATEGIES, INC.

RIA

CRD#: 16783

CONCORD, NC

Past

August 22, 2005 - October 9, 2007

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

October 15, 2004 - August 10, 2005

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

September 28, 2001 - October 18, 2004

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(8/4/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/25/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/10/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/27/2001

General Securities Representative Examination

Current Firm

OPTIMAL PLANNING LLC

OPTIMAL PLANNING LLC | OPTIMAL PLANNING, LLC

CRD#: 283885 / SEC#:

North Carolina

Registered Investment Advisory firm - (8/4/2016 Approved)

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Contact information

Main Address

1028 Lee-ann Drive Suite 220, Concord, NC 28025

Mailing Address

Phone number

(704) 782-7233

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	143
AUM (Assets Under Management)	$ 35,838,277

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Patrick K. Riley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Keith Riley's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CAMARDA WEALTH ADVISORY GROUP

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

QUEST CAPITAL STRATEGIES, INC.

QUEST CAPITAL STRATEGIES, INC.

INVESTACORP, INC.

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2006

Series 63

Date: 10/10/2001

SIE

Date: 8/2/2016

Series 7

Date: 9/27/2001

Current Firm

OPTIMAL PLANNING LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OPTIMAL PLANNING LLC

TRUST BUT VERIFY

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