Thomas G. 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.
Thomas G Riley, who also goes by Thomas G Riley Sr, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2005. Thomas had worked at 4 firms and has passed the Series 14A exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2011 - April 3, 2014
VIRTU FINANCIAL CAPITAL MARKETS LLC
December 12, 2011 - December 14, 2011
VIRTU FINANCIAL CAPITAL MARKETS LLC
August 28, 2008 - January 19, 2012
COHEN CAPITAL GROUP, LLC
June 27, 2005 - January 4, 2007
BEAR WAGNER SPECIALISTS LLC
June 27, 2005 - March 14, 2008
HBH SPECIALISTS LLC
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 14A
Date: 2/8/2012
Compliance Official Specialist ExamCurrent Firm
VIRTU FINANCIAL CAPITAL MARKETS LLC
CRD#: 45986 / SEC#: , 8-51262
Contact information
Documents
Disclosures
| Regulatory Event | 14 |
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.
