Jeffrey G. Riley

WESTPARK WEALTH ADVISORS

Houston, TX 77077

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CRD#: 2422564

Professional summary

Jeffrey Gordon Riley, CLU®, who also goes by Jeff Riley, is a registered financial advisor currently at WESTPARK WEALTH ADVISORS, INC. located in Houston, Texas and CALTON & ASSOCIATES, INC. located in Houston, Texas.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Jeffrey has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeff Riley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

No. 1) Name of Business: J. Riley Investments. Investment related. Address: 10205 Westheimer Rd. #500 Houston, TX 77042. Nature of Business: DBA security and advisory services. Position/Title/Relationship: Owner. Start Date: 09/2003. Hours per month: 100%. Hours per month during Securities trading hours: 100%. Duties/Responsibilities: Provides securities and advisory services. No. 2) Name of Business: Westpark Wealth Advisors. Investment related. Address: 10205 Westheimer #500 Houston, TX 77042. Nature of Business: Advisory Services. Position/Title/Relationship: IAR. Start Date: 10/2002. Hours per month: 80. Hours per month during Securities trading hours: 40. Duties/Responsibilities: Advisory services on a fee basis.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Gordon Riley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CLU^®

Chartered Life Underwriter

Experience

Current

May 13, 2004 - Present

WESTPARK WEALTH ADVISORS, INC.

Office #1: 13111 Westheimer Rd. Suite 475, Houston, TX 77077

RIA

CRD#: 130914

Houston, TX

Current

November 13, 2017 - Present

CALTON & ASSOCIATES, INC.

Office #1: 13111 Westheimer Road Suite 475, Houston, TX 77077

RIA

CRD#: 20999

Houston, TX

Past

October 14, 2002 - December 31, 2004

IMS SECURITIES, INC.

RIA

CRD#: 35567

HOUSTON, TX

Past

October 14, 2002 - November 9, 2017

IMS SECURITIES, INC.

CRD#: 35567

HOUSTON, TX

Past

November 26, 1993 - November 5, 2002

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WESTPARK WEALTH ADVISORS, INC.

IMS FINANCIAL ADVISORS, INC. | WESTPARK WEALTH ADVISORS, INC. | WESTPARK WEALTH ADVISORS | WEST PARK WEALTH ADVISORS

CRD#: 130914 / SEC#: 801-63009

RIA

Registered Investment Advisory firm - (4/28/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(10/30/2024)

Arkansas
(2/12/2020)

California
(11/13/2017)

IAR

California
(7/13/2023)

Florida
(1/2/2020)

Ohio
(11/13/2017)

IAR

Texas
(5/13/2004)

Texas
(11/13/2017)

Washington
(9/7/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/24/1993

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

WESTPARK WEALTH ADVISORS, INC.

IMS FINANCIAL ADVISORS, INC. | WESTPARK WEALTH ADVISORS, INC. | WESTPARK WEALTH ADVISORS | WEST PARK WEALTH ADVISORS

CRD#: 130914 / SEC#: 801-63009

RIA

Registered Investment Advisory firm - (4/28/2004 Approved)

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Contact information

Main Address

13111 Westheimer Rd. Suite 475, Houston, TX 77077

Mailing Address

13111 Westheimer Rd. Suite 475, Houston, TX 77077

Phone number

(713) 266-2993

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WESTPARK WEALTH ADVISORS, INC. ADV PART 2A - 2025 FIRM DISCLOSURE BROCHURE (3/29/2025)

Regulatory assets under management

Total Number of Accounts	700
AUM (Assets Under Management)	$ 229,314,510

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.

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Firm Stability Insights

Jeffrey G. Riley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Gordon Riley's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALTON & ASSOCIATES, INC.

IMS SECURITIES, INC.

IMS SECURITIES, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

WESTPARK WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/7/1993

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/24/1993

FINRA

Current Firm

WESTPARK WEALTH ADVISORS, INC.

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WESTPARK WEALTH ADVISORS, INC.

TRUST BUT VERIFY

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