James H. 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.
James Hershel Riley, CFP® was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2003. James had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2021 - May 23, 2023
ROBERT GREEN & COMPANY
August 12, 2020 - July 6, 2021
CLG LLC
March 31, 2016 - June 1, 2016
CWM, LLC
December 3, 2013 - March 31, 2016
STRATEGIC WEALTH ADVISORS GROUP
November 11, 2013 - June 28, 2016
LPL FINANCIAL LLC
July 21, 2003 - November 4, 2013
NAPA WEALTH MANAGEMENT
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROBERT GREEN & COMPANY
CRD#: 314835 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 94 |
| AUM (Assets Under Management) | $ 19,032,601 |
Red Flags
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