William J. Riley

CRISTATA INVESTMENT MANAGEMENT

Woodstock, MD

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CRD#: 1388423

Professional summary

William James Riley, who also goes by Bill James Riley, is a registered financial advisor currently at CRISTATA INVESTMENT MANAGEMENT located in Woodstock, Maryland.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. William has worked at 9 firms and has passed the Series 66, Series 63, Series 31, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill James 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 William James 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

April 27, 2009 - Present

CRISTATA INVESTMENT MANAGEMENT

RIA

CRD#: 148503

Woodstock, MD

Past

March 13, 2009 - April 23, 2009

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

EASTON, MD

Past

March 13, 2009 - April 23, 2009

RBC CAPITAL MARKETS, LLC

CRD#: 31194

EASTON, MD

Past

August 17, 2005 - March 13, 2009

FERRIS, BAKER WATTS, LLC

RIA

CRD#: 285

EASTON, MD

Past

August 17, 2005 - March 13, 2009

FERRIS, BAKER WATTS, LLC

CRD#: 285

EASTON, MD

Past

September 5, 2001 - August 29, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ELLICOTT CTY, MD

Past

October 25, 2000 - August 29, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 24, 1995 - November 6, 2000

ALLFIRST BROKERAGE CORPORATION

CRD#: 17531

BALTIMORE, MD

Past

May 11, 1992 - July 18, 1995

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

March 17, 1988 - August 2, 1990

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

January 22, 1988 - March 26, 1988

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

July 23, 1985 - November 16, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

Maryland
(4/27/2009)

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 66

Date: 8/6/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/2/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 5/16/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 3

Date: 1/6/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/20/1985

General Securities Representative Examination

Current Firm

CRISTATA INVESTMENT MANAGEMENT

CRISTATA INVESTMENT MANAGEMENT | CRISTATA WEALTH SOLUTIONS, LLC | CRISTATA WEALTH SOLUTIONS

CRD#: 148503 / SEC#: 801-69820

RIA

Registered Investment Advisory firm - (7/19/2012 Terminated)

Maryland

Registered Investment Advisory firm - (7/9/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Woodstock, MD

Mailing Address

Po Box 329, Woodstock, MD 21163-0329

Phone number

(410) 480-1900

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	153
AUM (Assets Under Management)	$ 52,486,353

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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Firm Stability Insights

William J. Riley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William James Riley's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

FERRIS, BAKER WATTS, LLC

FERRIS, BAKER WATTS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

ALLFIRST BROKERAGE CORPORATION

A. G. EDWARDS & SONS, INC.

LEGG MASON WOOD WALKER, INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 8/6/2001

Series 63

Date: 8/2/1985

Series 31

Date: 5/16/2003

Series 3

Date: 1/6/1992

Series 7

Date: 7/20/1985

Current Firm

CRISTATA INVESTMENT MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CRISTATA INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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