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MR

Michael F. Riley

WELLS FARGO SECURITIES
New York, NY 10001
Some features on this profile are disabled
CRD#: 4165280
MR

Professional summary

Michael Francis Riley is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in New York, New York and WELLS FARGO PRIME SERVICES, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 4 firms and has passed the Series 63, Series 57TO, Series 62, Series 99TO, SIE, Series 55, Series 3, Series 7, Series 4 and Series 24 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) - BD

Click below to view Michael Francis Riley's CRS (Customer Relationship Summary).

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

Current

May 30, 2013 - Present

WELLS FARGO SECURITIES, LLC

Office #1: 500 W 33rd St 30 Hudson Yards, New York, NY 10001Office #2: 83 Wooster Heights Road 5th Floor, Danbury, CT, 06810
BD
CRD#: 126292
New York, NY
Current

August 14, 2017 - Present

WELLS FARGO PRIME SERVICES, LLC

Office #1: 500 W 33rd St 30 Hudson Yards, New York, NY 10001
BD
CRD#: 133068
New York, NY
Past

December 4, 2012 - May 20, 2013

OCTEG, LLC

BD
CRD#: 117429
NEW YORK, NY
Past

May 9, 2000 - May 2, 2012

UBS SECURITIES LLC

BD
CRD#: 7654
STAMFORD, CT

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(5/30/2013)
RR
Alaska
(5/30/2013)
RR
Arizona
(5/30/2013)
RR
Arkansas
(5/30/2013)
RR
California
(5/30/2013)
RR
Colorado
(5/30/2013)
RR
Connecticut
(5/30/2013)
RR
Delaware
(5/30/2013)
RR
District of Columbia
(5/30/2013)
RR
Florida
(5/30/2013)
RR
Georgia
(5/30/2013)
RR
Hawaii
(5/30/2013)
RR
Idaho
(5/30/2013)
RR
Illinois
(5/30/2013)
RR
Indiana
(5/30/2013)
RR
Iowa
(5/30/2013)
RR
Kansas
(5/30/2013)
RR
Kentucky
(5/30/2013)
RR
Louisiana
(5/30/2013)
RR
Maine
(5/30/2013)
RR
Maryland
(5/30/2013)
RR
Massachusetts
(5/30/2013)
RR
Michigan
(5/30/2013)
RR
Minnesota
(5/30/2013)
RR
Mississippi
(5/30/2013)
RR
Missouri
(5/30/2013)
RR
Montana
(5/30/2013)
RR
Nebraska
(5/30/2013)
RR
Nevada
(5/30/2013)
RR
New Hampshire
(5/30/2013)
RR
New Jersey
(5/30/2013)
RR
New Mexico
(5/30/2013)
RR
New York
(5/30/2013)
RR
North Carolina
(5/30/2013)
RR
North Dakota
(5/30/2013)
RR
Ohio
(5/30/2013)
RR
Oklahoma
(5/30/2013)
RR
Oregon
(5/30/2013)
RR
Pennsylvania
(5/30/2013)
RR
Puerto Rico
(5/30/2013)
RR
Rhode Island
(5/30/2013)
RR
South Carolina
(5/30/2013)
RR
South Dakota
(5/30/2013)
RR
Tennessee
(5/30/2013)
RR
Texas
(5/30/2013)
RR
Utah
(5/30/2013)
RR
Vermont
(5/30/2013)
RR
Virgin Islands
(5/30/2013)
RR
Virginia
(5/30/2013)
RR
Washington
(5/30/2013)
RR
West Virginia
(5/30/2013)
RR
Wisconsin
(5/30/2013)
RR
Wyoming
(5/30/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 5/18/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/30/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 3/7/2001
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/8/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/5/2006
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/11/2005
General Securities Principal Examination
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

WF
WELLS FARGO PRIME SERVICES, LLC
MERLIN SECURITIES, LLC | WELLS FARGO PRIME SERVICES, LLC | WELLS FARGO CORPORATE AND/& INVESTMENT BANKING

CRD#: 133068 / SEC#: , 8-66677

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
333 Market Street, San Francisco, CA 94105
Mailing Address
333 Market Street, San Francisco, CA 94105
Phone number
(212) 822-4800
Established
Delaware since 02/26/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
EVEREN CAPITAL CORPORATIONOWNER
CONNOR, TIMOTHY MICHAELPRINCIPAL FINANCIAL OFFICER8157713
HALL, JEFFREYCHIEF OPERATIONS OFFICER5292396
KEARNS, WILLIAM JMANAGER2127701
LANGIS, DARREN JOSEPHMANAGER2781108
LEONE, JOHNMANAGER7164476
MCCOOEY, EAMON PATRICKCEO, PRESIDENT, MANAGER1762536
RILEY, MICHAEL FRANCISMANAGER4165280
YI, SCOTT HUNCHIEF COMPLIANCE OFFICER3152646

Disclosures

Regulatory Event4

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

WELLS FARGO PRIME SERVICES, LLC

CRD#: 133068New York, NY 10001

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