Jeffrey E. Riley

WILLIS JOHNSON & ASSOCIATES

Houston, TX 77057

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CRD#: 4765219

Professional summary

Jeffrey Earl Riley, CFP®, who also goes by Jeff Riley, is a registered financial advisor currently at WILLIS JOHNSON & ASSOCIATES, INC. located in Houston, Texas.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Jeffrey has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Biography

Jeff spends his free time outdoors with his wife, Jill, who is a Registered Nurse. Often he can be found playing guitar or working on his foreign language skills. At Western Michigan University he studied German for 4 years. With Houston’s diversity of culture and arts, he enjoys all Houston has to offer.

Question & Answer

What are your service offerings?

Employee and Employer Plan Ben...

Tax Planning

Retirement Planning

Insurance Planning

Comprehensive Financial Planni...

Investment Planning

Estate Planning

Do you have an area of expertise or specialization?

Business Owners

Charitable Giving

Corporate Executives

Estate & Generational Planning...

High Net Worth Client Needs

Investment Advice with Ongoing...

Are you a "fiduciary"?

Yes

Aliases

Jeff Riley

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 SOCIETY OF FIN'L SERVICE PROFS~19 CAMPUS BLVD, SUITE 100, NEWTON SQUARE, PA 19073~EDUCATION OF FIN'L SERVICE PROFS~N~BOARD MEMBER AND CURRENT CHAPTER PRESIDENT~7/2019~1 HRS/MO~0 TRADING HRS/MO|Houston Estate AND FINANCIAL FORUM (HEFF)~1321 ANTOINE DRIVE, HOUSTON, TX 77055~EDUCATION OF FIN'L SERVICE PROFS~N~BOARD MEMBER~8/1/2020~5 HRS/MO~0 TRADING HRS/MO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Earl Riley's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

May 27, 2025 - Present

WILLIS JOHNSON & ASSOCIATES, INC.

Office #1: 5847 San Felipe Suite 1500, Houston, TX 77057

RIA

CRD#: 119759

Houston, TX

Past

September 14, 2020 - May 20, 2025

THE MATHER GROUP, LLC

RIA

CRD#: 156005

Houston, TX

Past

August 26, 2015 - September 8, 2020

PARTNERSINWEALTH, INC

RIA

CRD#: 112786

HOUSTON, TX

Past

April 13, 2011 - July 21, 2015

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

PORTAGE, MI

Past

July 15, 2010 - July 21, 2015

PRUCO SECURITIES, LLC.

CRD#: 5685

PORTAGE, MI

Past

January 23, 2007 - January 14, 2010

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

KALAMAZOO, MI

Past

November 17, 2005 - January 3, 2007

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

GRAND RAPIDS, MI

Past

June 15, 2004 - September 6, 2005

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

March 29, 2004 - June 2, 2004

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WILLIS JOHNSON & ASSOCIATES, INC.

JOHNSON, BENDER & COMPANY | WILLIS JOHNSON & ASSOCIATES, INC.

CRD#: 119759 / SEC#: 801-66191

RIA

Registered Investment Advisory firm - (2/9/2006 Approved)

Texas

Registered Investment Advisory firm - (3/2/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(5/27/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/11/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/29/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/21/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/26/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/22/2007

Investment Company Products/Variable Contracts Principal Examination

Current Firm

WILLIS JOHNSON & ASSOCIATES, INC.

JOHNSON, BENDER & COMPANY | WILLIS JOHNSON & ASSOCIATES, INC.

CRD#: 119759 / SEC#: 801-66191

RIA

Registered Investment Advisory firm - (2/9/2006 Approved)

Texas

Registered Investment Advisory firm - (3/2/2006 Terminated)

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Contact information

Main Address

5847 San Felipe Suite 1500, Houston, TX 77057

Mailing Address

Phone number

(713) 439-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WJA ADV 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	2,377
AUM (Assets Under Management)	$ 1,419,970,309

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.

Contact information

(xxx) xxx-xxxx

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Firm Stability Insights

Jeffrey E. Riley

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Earl Riley's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE MATHER GROUP, LLC

PARTNERSINWEALTH, INC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

W&S BROKERAGE SERVICES, INC.

FORESTERS EQUITY SERVICES, INC.

PRUCO SECURITIES, LLC.

NATCITY INVESTMENTS, INC.

Primary Firm SEC Registration

WILLIS JOHNSON & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/11/2011

Series 63

Date: 3/29/2004

SIE

Date: 7/21/2015

Series 7

Date: 6/16/2004

Series 6

Date: 3/26/2004

Series 26

Date: 10/22/2007

Current Firm

WILLIS JOHNSON & ASSOCIATES, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WILLIS JOHNSON & ASSOCIATES, INC.

TRUST BUT VERIFY

Contact information

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