John James Riley
AIF®Professional Summary
John James Riley, AIF®, who also goes by John J. Riley, John James Riley Sr, is a registered financial advisor currently at CORNERSTONE INVESTMENT SERVICES located in Providence, Rhode Island. John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. John has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John J. Riley, John James Riley Sr
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
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.
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
Credentials
Years of Experience
40 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
Current Firm
CORNERSTONE INVESTMENT SERVICES | CORNERSTONE MONEY MANAGEMENT | CORNERSTONE INVESTMENTS SERVICES LLC | CORNERSTONE INVESTMENT SERVICES LLC
Contact Information
Main Address
245 Waterman Street Suite 504a, Providence, RI 02906Phone Number
(401) 453-5550# of Employees
3Documents
Regulatory Assets Under Management
Total Number of Accounts
191AUM (Assets Under Management)
$62,531,641Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
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.
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
(10/2/2012)
(11/24/2015)
(10/10/2012)
(1/1/2003)
(12/1/2006)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Sep 2004About the Series 87 examSimilar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC
CRS (Client Relationship Summary) - RIA
Click below to view John James Riley's CRS (Customer Relationship Summary).
Similar Advisors
CITIZENS SECURITIES, INC.
FIDELITY BROKERAGE SERVICES LLC