John T. 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.
John Thomas Riley JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1966. John had worked at 11 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2011 - January 20, 2015
DREXEL HAMILTON, LLC
November 6, 2007 - June 20, 2011
STERNE, AGEE & LEACH, INC.
May 1, 2007 - October 25, 2007
A. G. EDWARDS & SONS, INC.
December 10, 2004 - January 26, 2007
FIG PARTNERS, LLC
June 26, 2001 - November 1, 2004
B. RILEY SECURITIES, INC.
March 8, 2000 - May 29, 2001
ABN AMRO SECURITIES LLC
October 14, 1988 - January 19, 2000
WACHOVIA SECURITIES, INC.
November 5, 1984 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
July 13, 1978 - October 11, 1984
BECKER PARIBAS INCORPORATED
December 24, 1974 - July 13, 1978
BECKER SECURITIES INCORPORATED
May 16, 1966 - November 25, 1975
A. G. BECKER & CO., INCORPORATED
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: 6/13/1961
Registered Representative ExaminationCurrent Firm
DREXEL HAMILTON, LLC
CRD#: 143570 / SEC#: , 8-67576
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FELICE, ANTHONY PHILIP | CHIEF EXECUTIVE OFFICER | 4441607 |
| DOLL, LAWRENCE KIRK | OWNER | 5236486 |
| ELSAS, ROGER DEWITT | OWNER | 200659 |
| FAY, MELISSA JO HILER | OWNER | 5360445 |
| MARTINKO, JOHN CHRISTOPHER | OWNER | 5286067 |
| KIM, HYUNG S | OWNER | 5653676 |
| BRENNAN, PAUL FRANCIS | CHIEF OPERATING OFFICER | 2170928 |
| EDWARDS, JOHN WILLIAM JR. | CHIEF FINANCIAL OFFICER/FINOP | 1757360 |
| MAGEE, MARY BRENNAN | TRUSTEE, THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | |
| SANOK, EDWARD WILLIAM | CHIEF COMPLIANCE OFFICER | 6301272 |
| THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | OWNER |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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