William C. Riffle
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.
William Clifton Riffle SR, who also goes by William Clifton Riffle, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1968. William had worked at 6 firms and has passed the Series 63, Series 6TO, SIE, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 1999 - December 7, 2022
REGIONAL INVESTMENT SERVICES, INC.
February 23, 1995 - March 30, 1999
ALPHA-OMEGA CAPITAL CORP
May 10, 1994 - December 1, 1994
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
May 31, 1989 - May 24, 1994
EQUITY ANALYSTS INC.
October 1, 1985 - June 19, 1989
C.A.L. INVESTMENT SERVICES INC.
August 19, 1968 - July 31, 1986
TRANSAMERICA FINANCIAL ADVISORS, INC.
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 8/13/1968
Registered Representative ExaminationCurrent Firm
REGIONAL INVESTMENT SERVICES, INC.
CRD#: 46929 / SEC#: , 8-51588
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Arbitration | 1 |
Red Flags
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