Harry W. 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.
Harry William Riley III, who also goes by Harry William III Riley, Harry William Riley III, Harry William Riley, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1992. Harry had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2018 - May 20, 2020
PRUCO SECURITIES, LLC.
September 12, 2018 - May 20, 2020
PRUCO SECURITIES, LLC.
June 26, 2014 - June 7, 2018
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 12, 2014 - June 7, 2018
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 26, 2013 - May 1, 2014
ONEAMERICA SECURITIES, INC.
March 26, 2013 - May 1, 2014
ONEAMERICA SECURITIES, INC.
February 6, 2009 - March 4, 2013
MML INVESTORS SERVICES, LLC
December 1, 2008 - March 4, 2013
MML INVESTORS SERVICES, LLC
October 15, 2004 - November 7, 2008
MSI FINANCIAL SERVICES, INC.
August 11, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
August 11, 2003 - November 7, 2008
MSI FINANCIAL SERVICES, INC.
September 1, 2000 - August 11, 2003
W&S BROKERAGE SERVICES, INC.
March 15, 2000 - September 1, 2000
CINCINNATI ANALYSTS, INC.
August 16, 1996 - December 31, 1998
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 23, 1993 - September 21, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 21, 1993 - September 21, 1994
OSAIC FA, INC.
June 8, 1992 - November 4, 1992
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
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
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
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.
