Stephen J. 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.
Stephen James Riley, CFA, who also goes by Steve J. Riley, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1985. Stephen had worked at 6 firms and has passed the Series 63, Series 7, Series 3 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
September 23, 2014 - February 28, 2019
CLEARVIEW WEALTH SOLUTIONS, LLC
May 2, 2013 - August 15, 2014
LPL FINANCIAL LLC
May 2, 2013 - August 15, 2014
LPL FINANCIAL LLC
January 14, 2011 - April 12, 2013
GNV ADVISORS, LLC
January 5, 2011 - April 12, 2013
GENEVA ADVISORS, LLC
March 15, 1989 - May 1, 2001
ARBOR RESEARCH & TRADING, LLC
December 2, 1985 - January 30, 1989
L. F. ROTHSCHILD & CO. INCORPORATED
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
CLEARVIEW WEALTH SOLUTIONS, LLC
CRD#: 171996 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 54 |
| AUM (Assets Under Management) | $ 36,484,163 |
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.
