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Roselyn L. Riley

Some features on this profile are disabled
CRD#: 4197633
RR

Professional summary

Roselyn L Riley was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Roselyn is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Roselyn had worked at 3 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., BANC OF AMERICA INVESTMENT SERVICES INC., QUICK & REILLY INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Roselyn Lee Goines | Roselyn Lee Mullins | Rose Riley | Roselyn Lee Riley | Roselyn Lee Rowley | Roselyn L Shiver | Roselyn Lee Shiver

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

November 15, 2004 - January 21, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
NEPTUNE BEACH, FL
Past

October 20, 2004 - November 10, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

August 26, 2004 - October 20, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
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

State Security Law Exam
RR
Series 63
Date: 1/14/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/21/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/2004
General Securities Representative Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES, INC.
RAYMOND JAMES FINANCIAL SERVICES, INC.
INVESTMENT MANAGEMENT & RESEARCH, INC | RAYMOND JAMES FINANCIAL SERVICES, INC. | RAYMOND JAMES FINANCIAL SERVICES | RAYMOND JAMES ADVISORY SERVICES

CRD#: 6694 / SEC#: , 8-17983

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

Main Address
880 Carillon Parkway, St. Petersburg, FL 33716
Mailing Address
880 Carillon Parkway, St. Petersburg, FL 33716
Phone number
(727) 567-1000
Established
Florida since 09/12/1973
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RAYMOND JAMES FINANCIAL, INC.OWNER
BARKO, SHAWN JOSEPHCHIEF COMPLIANCE OFFICER2690394
CURTIS, SCOTTDIRECTOR1707935
ELWYN, TASHTEGO SPRINGDIRECTOR2319098
GEIS, WILLIAM CHRISTIANDIRECTOR2171250
GRIGAS CALIGIURI, KARAPRINCIPAL FINANCIAL OFFICER, FINOP2146027
KRUCHTEN, STEPHEN EDWARDDIRECTOR1645287
REID, SHANNON BELVEALPRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR4815189
RUST, KEITH GPRINCIPAL OPERATIONS OFFICER5915636
SANTELLI, JONATHANGENERAL COUNSEL6306997

Disclosures

Regulatory Event128
Arbitration76

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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Company Information

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

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