Phillip J. Riley

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CRD#: 5079696

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.

Phillip Joel Riley, who also goes by Phillip Joel Riley, Phillip Riley, was a registered financial professional .

Phillip is a previously registered financial professional and started their career in finance in 2009. Phillip had worked at 4 firms and has passed the Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Phillip Joel Riley | Phillip 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.

1.Independent Insurance Agent, Investment Related, Archbold, OH, Start Date 11/2016, 1-10% time spent during regular business hours; Sale of Fixed Insurance Products 2. Apprenticeship Screener with CPAPlus Network; As of 3/1/2020; 2% time spent during business hours; Conducted at branch location; Not investment related.

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

December 2, 2021 - July 26, 2023

THE RETIREMENT GUYS FORMULA

RIA

CRD#: 168561

MAUMEE, OH

Past

August 16, 2019 - November 15, 2021

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

ANN ARBOR, MI

Past

May 2, 2017 - December 6, 2017

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

MAUMEE, OH

Past

April 7, 2017 - December 6, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

MAUMEE, OH

Past

January 14, 2009 - April 21, 2016

THE MUTUAL FUND STORE

RIA

CRD#: 138244

MAUMEE, 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".

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CRD#: 168561 / SEC#: 801-119086

RIA

Registered Investment Advisory firm - (7/20/2020 Approved)

Michigan

Registered Investment Advisory firm - (7/23/2020 Terminated)

Ohio

Registered Investment Advisory firm - (7/23/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/24/2020 Terminated)

South Carolina

Registered Investment Advisory firm - (7/22/2020 Terminated)

Texas

Registered Investment Advisory firm - (7/22/2020 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 9/26/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 12/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/7/2017

Investment Company Products/Variable Contracts Representative Examination

Current Firm

THE RETIREMENT GUYS FORMULA

CRD#: 168561 / SEC#: 801-119086

RIA

Registered Investment Advisory firm - (7/20/2020 Approved)

Michigan

Registered Investment Advisory firm - (7/23/2020 Terminated)

Ohio

Registered Investment Advisory firm - (7/23/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/24/2020 Terminated)

South Carolina

Registered Investment Advisory firm - (7/22/2020 Terminated)

Texas

Registered Investment Advisory firm - (7/22/2020 Terminated)

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Contact information

Main Address

1700 Woodlands Drive, Maumee, OH 43537

Mailing Address

Phone number

(419) 842-0550

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RGF ADV PART 2A BROCHURE (2/25/2025)

Regulatory assets under management

Total Number of Accounts	1,991
AUM (Assets Under Management)	$ 300,603,838

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.

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Phillip J. Riley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE RETIREMENT GUYS FORMULA

COMMONWEALTH FINANCIAL NETWORK

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

THE MUTUAL FUND STORE

Primary Firm SEC Registration

THE RETIREMENT GUYS FORMULA

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/2006

SIE

Date: 12/6/2017

Series 6

Date: 4/7/2017

Current Firm

THE RETIREMENT GUYS FORMULA

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE RETIREMENT GUYS FORMULA

TRUST BUT VERIFY

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