Riley Simmons
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.
Riley Simmons II was a registered financial professional .
Riley is a previously registered financial professional and started their career in finance in 1991. Riley had worked at 5 firms and has passed the Series 63, SIE, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2012 - April 15, 2016
IFS SECURITIES
June 8, 2005 - June 22, 2011
JACKSON SECURITIES LLC
August 21, 2002 - June 8, 2005
BEREAN CAPITAL INCORPORATED
December 13, 1996 - August 19, 2002
THE CHAPMAN CO.
December 22, 1994 - June 24, 1996
HARVESTONS SECURITIES, INC.
August 9, 1991 - December 10, 1994
THE CHAPMAN CO.
State Registrations and Notice Filings
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Exams
Current Firm
IFS SECURITIES
CRD#: 40375 / SEC#: , 8-49020
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Financial | 1 |
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.
