William 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.
William Patrick Riley JR, who also goes by William Patrick Riley, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1970. William had worked at 12 firms and has passed the Series 65, Series 63, Series 55, Series 1, Series 12 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
December 22, 2010 - March 8, 2011
FULCRUM ADVISORY SERVICES, LLC
February 6, 2008 - March 8, 2011
FULCRUM SECURITIES, LLC
April 10, 2001 - February 1, 2008
FLAGSTONE SECURITIES, LLC
October 3, 2000 - April 26, 2001
HAPOALIM SECURITIES USA, INC.
October 28, 1999 - July 10, 2000
HUNTLEIGH SECURITIES CORPORATION
November 15, 1995 - December 11, 1999
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 4, 1978 - May 11, 1978
BLUNT ELLIS & LOEWI INCORPORATED
July 21, 1977 - April 4, 1978
LOEWI & CO., INCORPORATED
May 21, 1975 - May 9, 1995
BRIDGE TRADING COMPANY
January 24, 1974 - February 14, 1975
WHITE, WELD & CO. INCORPORATED
May 18, 1973 - January 19, 1974
DEAN WITTER & CO. INCORPORATED
October 21, 1971 - May 18, 1973
DEAN WITTER & CO. INCORPORATED
February 16, 1970 - October 22, 1971
STIFEL, NICOLAUS & COMPANY, 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 55
Date: 12/22/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 2/6/1970
Registered Representative ExaminationSeries 12
Date: 3/11/1978
NYSE Branch Manager ExaminationSeries 00
Date: 5/10/1975
General Securities Principal ExaminationCurrent Firm
FULCRUM ADVISORY SERVICES, LLC
CRD#: 131777 / SEC#: 801-65303
Contact information
Red Flags
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