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KR

Kenneth E. Riney

Some features on this profile are disabled
CRD#: 1802870
KR

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.

Kenneth Eugene Riney, who also goes by Ken Riney, was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1988. Kenneth had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ken Riney

Other business activities

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.
(1) Name of Business: Ken Riney Rentals Address: 2644 Wainwright Court, Terre Haute, IN, 47803, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 09/20/2019 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner of commercial rental property since 1990 (2) Name of Business: the valley group Address: 7205 S State Road 46 Ste B, Terre Haute, IN, 47802, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 05/24/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: investment advisor

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 24, 2019 - June 14, 2024

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
TERRE HAUTE, IN
Past

May 24, 2019 - June 14, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
TERRE HAUTE, IN
Past

January 1, 2008 - May 29, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
TERRE HAUTE, IN
Past

January 1, 2008 - May 29, 2019

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
TERRE HAUTE, IN
Past

March 30, 2000 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
TERRE HAUTE, IN
Past

May 1, 1995 - January 3, 2008

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
TERRE HAUTE, IN
Past

July 19, 1993 - May 9, 1995

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

March 22, 1988 - July 19, 1993

J.J.B. HILLIARD, W.L. LYONS, LLC

BD
CRD#: 453
LOUISVILLE, KY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/24/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/1988
General Securities Representative Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)
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Contact information

Main Address
880 Carillon Parkway, Saint Petersburg, FL 33716
Mailing Address
Phone number
(727) 567-3020
Established
Firm type
Fiscal year end
# of Employees
6,727

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts1,030,208
AUM (Assets Under Management)$ 344,868,106,925

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/12/2025
Cover Page
Report
08/21/2024
Cover Page
Report
09/27/2023
Cover Page
Report

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.

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Financial AdvisorCRD#: 149018

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Contact information

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xxxxx@xxxx.xxx

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