Merlin Blaine Riley Iii
Professional Summary
Merlin Blaine Riley III, who also goes by Merlin Blaine Riley, was a registered financial advisor. Merlin was a previously registered financial professional and started their career in finance 1988 - 1998. Merlin had worked at 6 firms and has passed the Series 63, Series 7, Series 22, Series 3, Series 24 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Merlin Blaine Riley
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
J. ALEXANDER SECURITIES, INC.
Contact Information
Established
California since 09/06/1978Firm Type
CorporationFiscal Year End
AprilDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
24Arbitration
4Judgment/Lien
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Apr 1988About the Series 22 examSeries 39 — Direct Participation Programs Principal Examination
Passed Jun 1988About the Series 39 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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