James P. 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.
James Patrick Riley was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1967. James had worked at 5 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 1986 - March 14, 1991
TRIEQUA CAPITAL CORPORATION
February 1, 1974 - April 5, 1983
CINCINNATI ANALYSTS, INC.
January 1, 1974 - February 1, 1974
FML FUNDS DISTRIBUTION COMPANY
January 17, 1973 - January 19, 1974
C. A. MANAGEMENT CORPORATION
October 16, 1967 - February 18, 1973
LINCOLN FINANCIAL DISTRIBUTORS, 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 1
Date: 9/19/1967
Registered Representative ExaminationSeries 00
Date: 11/8/1973
General Securities Principal ExaminationCurrent Firm
TRIEQUA CAPITAL CORPORATION
CRD#: 13101 / SEC#: , 8-28626
Contact information
Documents
Red Flags
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