Timothy S. 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.
Timothy Shane Riley, who also goes by Tim Riley, Timothy S Riley, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1991. Timothy had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2011 - September 13, 2023
RICAP ASSET MANAGEMENT, LTD.
February 26, 2009 - August 22, 2011
RICAP ASSET MANAGEMENT, LTD.
January 15, 2008 - December 31, 2008
RICAP ASSET MANAGEMENT, LTD.
August 18, 2006 - December 31, 2007
RICAP ASSET MANAGEMENT, LTD.
March 7, 2006 - May 23, 2006
LPL FINANCIAL LLC
January 23, 2006 - May 23, 2006
LPL FINANCIAL LLC
January 23, 1995 - June 7, 1995
MORGAN STANLEY DW INC.
March 16, 1992 - February 6, 1995
PRUDENTIAL EQUITY GROUP, LLC
July 26, 1991 - January 30, 1992
LEHMAN BROTHERS 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
RICAP ASSET MANAGEMENT, LTD.
CRD#: 140766 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,867,234 |
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.
