HR
Horace D. Riley
FORTIS CAPITAL ADVISORS
Hauppauge, NY 11788
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CRD#: 5099893
HR
Professional summary
Horace Damien Riley is a registered financial advisor currently at FORTIS CAPITAL ADVISORS, LLC located in Hauppauge, New York and NETWORK 1 FINANCIAL SECURITIES INC. located in Hauppauge, New York.
Horace is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Horace has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) H. Riley & Associates Inc. Position: Owner/Director Address: 413 Sprouce Place, Uniondale, NY Approx Hours: 5 hours 0 during trading hours Start Date: 4-1-2009 Duties/Purpose: I MAINTAIN A SUB CHAPTER S CORPORATION FOR THE SOLE PURPOSE OF RECEIVING COMPENSATION. IT IS FOR TAX PURPOSES ONLY AND I DO NOT TAKE IN ANY OTHER MONIES. 2) Delta Airlines, JFK International Airport. Start date: 5/20/2024. Seasonal employee. Work will end on August 31, 2024. Not investment-related. I provide customer service to the Baggage Department. No time is devoted to this OBA during normal trading hours. Approximately 80 hours/month are devoted to this OBA during non-trading hours. 3) Fixed insurance sales, investment related, same address as branch, sales of fixed insurance products, salesperson, 0 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Horace Damien Riley's 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®
NoneExperience
Current
July 9, 2024 - Present
FORTIS CAPITAL ADVISORS, LLC
Office #1: 1600 Expressway Drive South, Suite 200, Hauppauge, NY 11788RIA
CRD#: 309709
Hauppauge, NY
Current
October 24, 2022 - Present
NETWORK 1 FINANCIAL SECURITIES INC.
Office #1: 1600 Expressway Drive South Suite 200, Hauppauge, NY 11788BD
CRD#: 13577
Hauppauge, NY
Past
September 25, 2015 - November 3, 2022
LAIDLAW & COMPANY (UK) LTD.
BD
CRD#: 119037
MELVILLE, NY
Past
April 9, 2008 - October 1, 2015
ROCKWELL GLOBAL CAPITAL LLC
BD
CRD#: 142485
MELVILLE, NY
Past
April 10, 2006 - April 14, 2008
EMPIRE FINANCIAL GROUP, INC.
BD
CRD#: 28759
UNIONDALE, NY
Past
March 21, 2006 - April 4, 2006
THE CONCORD EQUITY GROUP, LLC
BD
CRD#: 14569
GARDEN CITY, NY
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".
FC
FORTIS CAPITAL ADVISORS, LLC
ARCHER WEALTH PLANNING | WESTLAKE WEALTH MANAGEMENT, LLC | UNITED SUCCESS BUSINESS ADVISORY LLC | TURMAN FINANCIAL GROUP, LLC | TRUVIUM CAPITAL PARTNERS | TIMBER POINT CAPITAL MANAGEMENT | SJ BOYLE WEALTH PLANNING, LLC | SERENITY WEALTH MANAGEMENT | RAPPS & ASSOCIATES | PFS ADVISORS, LLC | NEXT HORIZON ADVISORS, LLC | NETWORK 1 FINANCIAL PRIVATE WEALTH MANAGEMENT | LRVS ADVISORY GROUP | JOSHPE FINANCIAL | ISAAC FINANCIAL | HORIZON PRIVATE WEALTH | GRATUS WEALTH MANAGEMENT | GENERATIONS WEALTH PARTNERS | FORTIS CAPITAL ADVISORS, LLC | COPA WEALTH STRATEGIES | COMPASS WEALTH SOLUTIONS | CLEARPATH FINANCIAL | BE INVESTMENT MANAGEMENT | AWS WEALTH MANAGEMENT
CRD#: 309709 / SEC#: 801-119354
RIA
Registered Investment Advisory firm - (8/28/2020 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(10/24/2022)
RR
Arkansas(12/1/2022)
RR
Colorado(10/24/2022)
RR
District of Columbia(4/15/2024)
RR
Florida(3/10/2025)
RR
Illinois(2/3/2025)
RR
Nebraska(10/24/2022)
RR
New York(10/24/2022)
IAR
New York(7/9/2024)
RR
North Dakota(10/24/2022)
RR
South Carolina(3/10/2025)
RR
Texas(10/24/2022)
RR
Utah(10/24/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
FC
FORTIS CAPITAL ADVISORS, LLC
ARCHER WEALTH PLANNING | WESTLAKE WEALTH MANAGEMENT, LLC | UNITED SUCCESS BUSINESS ADVISORY LLC | TURMAN FINANCIAL GROUP, LLC | TRUVIUM CAPITAL PARTNERS | TIMBER POINT CAPITAL MANAGEMENT | SJ BOYLE WEALTH PLANNING, LLC | SERENITY WEALTH MANAGEMENT | RAPPS & ASSOCIATES | PFS ADVISORS, LLC | NEXT HORIZON ADVISORS, LLC | NETWORK 1 FINANCIAL PRIVATE WEALTH MANAGEMENT | LRVS ADVISORY GROUP | JOSHPE FINANCIAL | ISAAC FINANCIAL | HORIZON PRIVATE WEALTH | GRATUS WEALTH MANAGEMENT | GENERATIONS WEALTH PARTNERS | FORTIS CAPITAL ADVISORS, LLC | COPA WEALTH STRATEGIES | COMPASS WEALTH SOLUTIONS | CLEARPATH FINANCIAL | BE INVESTMENT MANAGEMENT | AWS WEALTH MANAGEMENT
CRD#: 309709 / SEC#: 801-119354
RIA
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Contact information
Main Address
7301 Mission Road Suite 326, Prairie Village, KS 66208
Mailing Address
Phone number
(913) 222-8862
Established
Firm type
Fiscal year end
# of Employees
69
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,774 |
| AUM (Assets Under Management) | $ 1,212,196,068 |
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.
