Michael P. 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.
Michael Patrick Riley, who also goes by Michael P Riley, Michael Riley, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 8 firms and has passed the Series 63 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 18, 1996 - December 23, 1996
PELLETT INVESTMENTS, INC.
April 23, 1996 - September 24, 1996
TORREY PINES SECURITIES, INC.
November 14, 1995 - January 2, 1996
GLOBALINK SECURITIES, INC.
October 1, 1995 - October 18, 1995
MORGAN STANLEY DW INC.
July 5, 1994 - September 12, 1995
WELLS FARGO CLEARING SERVICES, LLC
December 17, 1993 - June 10, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - November 19, 1993
CITIGROUP GLOBAL MARKETS INC.
January 15, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
September 13, 1990 - January 3, 1992
CITIGROUP GLOBAL MARKETS 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
Current Firm
PELLETT INVESTMENTS, INC.
CRD#: 19834 / SEC#: , 8-37839
Contact information
Documents
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.
