William E. 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.
William Eugene Riley JR, ChFC®, CLU®, who also goes by Bill E Riley, William E Riley, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 12 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2020 - June 16, 2023
RILEY PRIVATE CLIENT LLC
April 20, 2016 - December 31, 2016
CONCERT WEALTH MANAGEMENT
January 25, 2008 - July 11, 2018
SILVER OAK SECURITIES, INCORPORATED
January 16, 2008 - July 8, 2021
RILEY WEALTH ADVISORS, LLC
March 15, 2002 - January 22, 2008
RAYMOND JAMES & ASSOCIATES, INC.
March 15, 2002 - January 22, 2008
RAYMOND JAMES & ASSOCIATES, INC.
August 14, 2000 - March 21, 2002
UBS FINANCIAL SERVICES INC.
June 12, 1998 - August 14, 2000
J.C. BRADFORD & CO.
June 9, 1993 - June 17, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 23, 1991 - June 9, 1993
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
May 7, 1990 - July 25, 1991
WOODBURY FINANCIAL SERVICES, INC.
September 9, 1986 - May 14, 1990
USLIFE EQUITY SALES CORP.
May 14, 1986 - September 23, 1986
CONSECO FINANCIAL SERVICES, INC.
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 8
Date: 11/26/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RILEY PRIVATE CLIENT LLC
CRD#: 310313 / SEC#: 801-121467
Contact information
Regulatory assets under management
| Total Number of Accounts | 363 |
| AUM (Assets Under Management) | $ 64,894,878 |
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.
