John G. Riker
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.
John Gerard Riker was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2013 - November 9, 2015
SPC
August 1, 2013 - November 9, 2015
PARKLAND SECURITIES, LLC
February 19, 2013 - August 1, 2013
SIGNATOR INVESTORS, INC.
January 28, 2013 - August 1, 2013
SIGNATOR INVESTORS, INC.
October 31, 1996 - August 1, 1997
LLOYD WADE SECURITIES INC.
March 17, 1993 - March 27, 1997
SECURITIES AMERICA, INC.
November 6, 1992 - March 15, 1993
OSAIC WEALTH, INC.
July 1, 1992 - November 4, 1992
SECURITIES AMERICA, INC.
October 19, 1989 - July 1, 1992
MERIDIAN, DUNHILL & CO., INC.
February 9, 1987 - October 23, 1989
INVESTORS BROKERAGE SERVICES, INC.
January 21, 1986 - March 9, 1987
WADDELL & REED
October 23, 1985 - December 23, 1985
GREENTREE SECURITIES CORP.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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