Robert A. 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.
Robert Aloysious Riley SR, who also goes by Robert Aloysious Riley, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 4 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2010 - March 14, 2014
TP ICAP GLOBAL MARKETS AMERICAS LLC
December 1, 2004 - December 18, 2008
ICAP SECURITIES USA LLC
September 10, 2001 - December 31, 2004
GARBAN CAPITAL MARKETS LLC
October 19, 1995 - December 20, 2001
ICAP SECURITIES USA LLC
October 11, 1989 - October 16, 1995
INTERCAPITAL GOVERNMENT SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
Red Flags
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