Robert N. 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.
Robert Norman Riley was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1973. Robert had worked at 9 firms and has passed the Series 63, Series 1, Series 27, Series 54FN 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 13, 1997 - November 11, 1997
LANDMARK SECURITIES CORPORATION
June 3, 1992 - January 12, 1999
NATIONAL CLEARING CORP.
August 27, 1986 - December 31, 1993
REYNOLDS KENDRICK STRATTON, INC.
October 21, 1985 - June 26, 1986
B.O.C.L. SECURITIES CORP.
April 23, 1984 - October 7, 1985
CAL STATE SECURITIES CORP.
June 30, 1983 - January 23, 1984
BIRR, WILSON & CO., INC.
February 15, 1977 - June 29, 1983
GIBRALCO, INC.
March 17, 1976 - December 13, 1976
THOMAS GREEN SECURITIES, INC.
October 18, 1973 - February 28, 1976
DEUTSCHE IXE, LLC
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: 12/28/1960
Registered Representative ExaminationSeries 54FN
Date: 11/20/1978
Municipal Securities Financial and Operations Principal ExaminationSeries 00
Date: 10/15/1973
General Securities Principal ExaminationCurrent Firm
LANDMARK SECURITIES CORPORATION
CRD#: 39506 / SEC#: , 8-48732
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GILLOCK, JAMES CLIFTON | PRESIDENT CEO | 1215677 |
| WILSON, ROBERT JOSEPH | CFO FINOP CCO |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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