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CR

Charles A. Riley

USQ SECURITIES LLC
New York, NY 10128
Some features on this profile are disabled
CRD#: 3029588
CR

Professional summary

Charles Andrew Riley, who also goes by Charles Riley, is a registered financial professional currently at USQ SECURITIES LLC located in New York, New York.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2014. Charles has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Andrew 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

October 8, 2019 - Present

USQ SECURITIES LLC

Office #1: 403 E. 90th Street #1rw, New York, NY 10128
BD
CRD#: 299008
New York, NY
Past

January 25, 2019 - September 10, 2019

ENCLAVE CAPITAL LLC

BD
CRD#: 22732
BOCA RATON, FL
Past

March 31, 2017 - December 20, 2018

SANDLAPPER SECURITIES, LLC

BD
CRD#: 137906
GREENVILLE, SC
Past

July 10, 2014 - March 23, 2017

THE FIG GROUP, LLC

BD
CRD#: 133558
DALLAS, TX

State Registrations and Notice Filings

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

RR
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

RR
New York
(10/8/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 10/17/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/10/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 2/25/1998
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

US
USQ SECURITIES LLC
USQ SECURITIES LLC | USQA CAPITAL LLC

CRD#: 299008 / SEC#: , 8-70279

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
403 E. 90th Street #1rw, New York, NY 10128
Mailing Address
403 E. 90th Street #1rw, New York, NY 10128
Phone number
(347) 334-9813
Established
Delaware since 11/06/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
COLLINS, ANTHONY ARTHURMANAGING MEMBER, EXECUTIVE REP6580684
HILL, HUGH F IVMANAGING MEMBER, CCO6604738
HOPKINS, THOMAS JOHNFINOP, PFO, POO1835087

Disclosures

Regulatory Event1

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.

Company Information

USQ SECURITIES LLC

CRD#: 299008New York, NY 10128

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