Merlin B. 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.
Merlin Blaine Riley III, who also goes by Merlin Blaine Riley, was a registered financial professional .
Merlin is a previously registered financial professional and started their career in finance in 1988. Merlin had worked at 6 firms and has passed the Series 63, Series 7, Series 22, Series 3, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 1994 - April 3, 1998
J. ALEXANDER SECURITIES, INC.
August 28, 1991 - June 9, 1992
LEHMAN BROTHERS INC.
June 7, 1991 - August 14, 1991
FIRST AFFILIATED SECURITIES
September 8, 1989 - January 8, 1990
LEHMAN BROTHERS INC.
July 17, 1989 - November 14, 1989
WEDBUSH SECURITIES INC.
March 20, 1989 - July 3, 1989
TITAN/VALUE EQUITIES GROUP, INC.
April 26, 1988 - April 6, 1989
L.M. DREW & ASSOCIATES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J. ALEXANDER SECURITIES, INC.
CRD#: 7809 / SEC#: , 8-23204
Contact information
Documents
Disclosures
| Regulatory Event | 24 |
| Arbitration | 4 |
| Judgment/Lien | 1 |
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.
