Allen M. 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.
Allen Marshall Riley, who also goes by Rusty Riley, was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1996. Allen had worked at 5 firms and has passed the Series 65, 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
August 19, 2013 - February 6, 2014
TLWM FINANCIAL
August 2, 2013 - March 17, 2014
LPL FINANCIAL LLC
May 19, 2006 - August 16, 2013
INVESTMENT PROFESSIONALS, INC.
April 26, 2006 - August 16, 2013
INVESTMENT PROFESSIONALS, INC.
October 6, 2003 - April 26, 2006
VALIC FINANCIAL ADVISORS, INC.
October 6, 2003 - April 26, 2006
VALIC FINANCIAL ADVISORS, INC.
June 5, 1996 - October 15, 2003
UBS FINANCIAL SERVICES INC.
May 29, 1996 - October 15, 2003
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
TLWM FINANCIAL
CRD#: 158305 / SEC#: 801-79214
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
TLWM FINANCIAL
CRD#: 158305 / SEC#: 801-79214
Contact information
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,008 |
| AUM (Assets Under Management) | $ 577,253,765 |
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.
