Paul 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.
Paul Joseph Riley was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1990. Paul had worked at 4 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2004 - December 16, 2013
THE WINCHESTER GROUP, INC.
December 10, 2003 - October 27, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 8, 2002 - December 19, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 29, 2002 - September 13, 2002
DOMESTIC SECURITIES, INC.
November 1, 1990 - January 14, 2002
PRUDENTIAL EQUITY GROUP, LLC
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
Series 55
Date: 11/4/2002
Limited Representative-Equity Trader ExamCurrent Firm
THE WINCHESTER GROUP, INC.
CRD#: 27704 / SEC#: 801-37906, 8-43202
Contact information
Disclosures
| Regulatory Event | 3 |
Red Flags
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