Mark C. 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.
Mark Christopher Riley was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1992. Mark had worked at 16 firms and has passed the Series 65, Series 63, SIE 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
September 22, 2016 - December 31, 2017
INDEPENDENT FINANCIAL GROUP, LLC
September 21, 2016 - December 31, 2017
INDEPENDENT FINANCIAL GROUP, LLC
September 17, 2013 - September 26, 2016
WEDBUSH SECURITIES INC.
September 16, 2013 - September 26, 2016
WEDBUSH SECURITIES INC.
April 24, 2012 - September 17, 2013
CROWELL, WEEDON & CO.
April 24, 2012 - September 17, 2013
CROWELL, WEEDON & CO.
April 12, 2011 - April 23, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 11, 2011 - April 23, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 3, 2011 - April 18, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - April 18, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 29, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
June 29, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 12, 2006 - July 13, 2007
UBS FINANCIAL SERVICES INC.
August 12, 2006 - July 13, 2007
UBS FINANCIAL SERVICES INC.
March 17, 2006 - August 12, 2006
PIPER SANDLER & CO.
March 17, 2006 - August 12, 2006
PIPER SANDLER & CO.
February 13, 2003 - March 23, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 12, 2003 - March 23, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 5, 2003 - February 11, 2003
CITICORP INVESTMENT SERVICES
November 14, 1998 - February 5, 2003
CAL FED INVESTMENTS
December 16, 1997 - November 14, 1998
GLENFED BROKERAGE SERVICES
November 10, 1995 - December 23, 1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
May 5, 1995 - October 20, 1995
SPELMAN & CO., INC.
March 12, 1993 - May 11, 1995
SECURITIES RESOLUTION CORPORATION
August 6, 1992 - February 22, 1993
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
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
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 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.
