David W. Riley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Wayne Riley was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2005 - January 30, 2020
THE O.N. EQUITY SALES COMPANY
January 2, 2003 - August 18, 2005
OSAIC FS, INC.
October 10, 2001 - November 18, 2002
MWA FINANCIAL SERVICES INC.
May 31, 2000 - December 31, 2000
LOCUST STREET SECURITIES, INC.
August 7, 1996 - July 29, 1999
PRUCO SECURITIES, LLC.
March 14, 1995 - July 8, 1996
NYLIFE SECURITIES LLC
November 24, 1982 - January 31, 1995
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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