Robert K. Riley

MUTUAL TRUST ASSET MGMT.

Clearwater, FL 33759

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CRD#: 2846274

Professional summary

Robert Karl Riley, who also goes by Robert K Riley, is a registered financial advisor currently at MUTUAL TRUST ASSET MGMT., INC. located in Clearwater, Florida and CALTON & ASSOCIATES, INC. located in Clearwater, Florida.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Robert has worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert K 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.

1. I own 50% of a home in MA and it is a single-family home that I use for rental income. 2. Retirement Lock; Investment related; 3100 Gulf to Bay Blvd, Ste 100, Clearwater, FL 33759; Financial planning and financial advisory services business; Owner/Sole Proprietor; Start Date: 04/01/2025; Hours/month: 160; Hours/month during securities trading hours: 130; Meet with clients, prospects, conduct reviews, recommend solutions. Investment/insurance solutions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Karl 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®

None

Experience

Current

December 5, 2024 - Present

MUTUAL TRUST ASSET MGMT., INC.

Office #1: 3100 Gulf To Bay Blvd Ste 100, Clearwater, FL 33759

RIA

CRD#: 121364

Clearwater, FL

Current

October 1, 2024 - Present

CALTON & ASSOCIATES, INC.

Office #1: 3100 Gulf To Bay Blvd Ste 100, Clearwater, FL 33759

RIA

CRD#: 20999

Clearwater, FL

Past

October 21, 2022 - October 28, 2024

MUTUAL TRUST ASSET MGMT., INC.

RIA

CRD#: 121364

Clearwater, FL

Past

October 17, 2022 - October 28, 2024

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

CRD#: 8494

ST. PETERSBURG, FL

Past

July 13, 2018 - November 6, 2020

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

January 18, 2017 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WEST HARTFORD, CT

Past

January 11, 2017 - November 5, 2020

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WEST HARTFORD, CT

Past

May 29, 2012 - December 15, 2016

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

CRD#: 8494

ST. PETERSBURG, FL

Past

May 12, 2005 - July 26, 2010

JPMORGAN DISTRIBUTION SERVICES, INC.

CRD#: 104234

COLUMBUS, OH

Past

February 16, 2000 - April 4, 2005

EVERLAKE DISTRIBUTORS, LLC

CRD#: 100460

NORTHBROOK, IL

Past

November 23, 1999 - February 14, 2000

ALFS, INC.

CRD#: 32201

NORTHBROOK, IL

Past

March 25, 1998 - November 11, 1999

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

February 12, 1997 - November 25, 1997

AUGMENT SECURITIES INC.

CRD#: 28373

NEW YORK, NY

Past

February 6, 1997 - February 18, 1997

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

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".

MUTUAL TRUST ASSET MGMT., INC.

CRD#: 121364 / SEC#: 801-111062

RIA

Registered Investment Advisory firm - (8/29/2017 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2017 Terminated)

Colorado

Registered Investment Advisory firm - (9/24/2013 Terminated)

Florida

Registered Investment Advisory firm - (12/18/2017 Terminated)

Indiana

Registered Investment Advisory firm - (11/15/2011 Terminated)

Minnesota

Registered Investment Advisory firm - (12/20/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(10/1/2024)

IAR

Florida
(12/5/2024)

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

IAR

Series 66

Date: 11/17/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/13/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/5/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MUTUAL TRUST ASSET MGMT., INC.

CRD#: 121364 / SEC#: 801-111062

RIA

Registered Investment Advisory firm - (8/29/2017 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2017 Terminated)

Colorado

Registered Investment Advisory firm - (9/24/2013 Terminated)

Florida

Registered Investment Advisory firm - (12/18/2017 Terminated)

Indiana

Registered Investment Advisory firm - (11/15/2011 Terminated)

Minnesota

Registered Investment Advisory firm - (12/20/2017 Terminated)

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Contact information

Main Address

2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607

Mailing Address

Phone number

(813) 264-0440

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MUTUAL TRUST ASSET MANAGEMENT ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	92
AUM (Assets Under Management)	$ 57,396,568

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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Advisor Monitoring

Firm Stability Insights

Robert K. Riley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Karl Riley's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALTON & ASSOCIATES, INC.

MUTUAL TRUST ASSET MGMT., INC.

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

JPMORGAN DISTRIBUTION SERVICES, INC.

EVERLAKE DISTRIBUTORS, LLC

ALFS, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

AUGMENT SECURITIES INC.

ROBERT THOMAS SECURITIES, INC

Primary Firm SEC Registration

MUTUAL TRUST ASSET MGMT., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/17/2016

Series 63

Date: 3/13/1997

SIE

Date: 10/1/2018

Series 7

Date: 2/5/1997

FINRA

Current Firm

MUTUAL TRUST ASSET MGMT., INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MUTUAL TRUST ASSET MGMT., INC.

TRUST BUT VERIFY

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