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JR

James R. Riley

Some features on this profile are disabled
CRD#: 4147973
JR

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 R Riley was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1988. James had worked at 6 firms and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 22, 2016 - February 1, 2021

BEACONS STRATEGIC CAPITAL, INC.

BD
CRD#: 32754
New York, NY
Past

March 31, 2008 - August 15, 2016

DAG SECURITIES INC.

BD
CRD#: 44376
NEW YORK, NY
Past

July 31, 2007 - April 17, 2008

RILEY, THOMAS R.

BD
CRD#: 139628
NEW YORK, NY
Past

May 28, 2004 - August 6, 2007

G&L PARTNERS, INC.

BD
CRD#: 129605
SEA CLIFF, NY
Past

April 10, 2003 - June 7, 2004

G&L PARTNERS, LLC

BD
CRD#: 38719
NEW YORK, NY
Past

April 1, 1988 - March 20, 2003

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/12/2000
General Securities Representative Examination

Current Firm

BS
BEACONS STRATEGIC CAPITAL, INC.
BEACONS STRATEGIC CAPITAL, INC. | MARK J. MULLER EQUITIES, INC.

CRD#: 32754 / SEC#: , 8-41221

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1054 Snipe Ct., Carlsbad, CA 92011
Mailing Address
14 Wall Street 20th Floor, New York, NY 10005
Phone number
(760) 212-0216
Established
New York since 03/07/1989
Firm type
Corporation
Fiscal year end
October
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MILLER, JOE HENRY JRCEO/CCO1172989
KRIM, ALAN MITCHELLFINOP2785337
MULLER, MARK JEFFREYGSP, NYSE FLOOR SUPERVISOR, SENIOR V.P.871286

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BEACONS STRATEGIC CAPITAL, INC.

CRD#: 32754

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