HR
Horace D. Riley
NETWORK 1 FINANCIAL ADVISORS
Freeport, NY
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CRD#: 5099893
HR
Professional summary
Horace Damien Riley is a registered financial advisor currently at NETWORK 1 FINANCIAL ADVISORS INC. located in Freeport, 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 7 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.
The advisor shows no other business activity.
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
January 9, 2026 - Present
NETWORK 1 FINANCIAL ADVISORS INC.
RIA
CRD#: 121239
Freeport, 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
July 9, 2024 - December 22, 2025
FORTIS CAPITAL ADVISORS, LLC
RIA
CRD#: 309709
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
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
Arkansas(12/1/2022)
RR
California(1/8/2026)
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)
IAR
New Jersey(1/9/2026)
RR
New York(10/24/2022)
RR
Texas(10/24/2022)
IAR
Texas(1/30/2026)
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
N1
NETWORK 1 FINANCIAL ADVISORS INC.
NETWORK 1 FINANCIAL ADVISORS INC.
CRD#: 121239 / SEC#:
Colorado
Registered Investment Advisory firm - (4/18/2016 Terminated)Connecticut
Registered Investment Advisory firm - (1/5/2026 Approved)Florida
Registered Investment Advisory firm - (5/30/2003 Approved)New Jersey
Registered Investment Advisory firm - (11/10/1998 Approved)Texas
Registered Investment Advisory firm - (1/30/2026 Approved)PREMIUM
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Contact information
Main Address
2 Bridge Ave Suite 241, Red Bank, NJ 07701
Mailing Address
Phone number
(732) 758-9001
Established
Firm type
Fiscal year end
# of Employees
11
Regulatory assets under management
| Total Number of Accounts | 80 |
| AUM (Assets Under Management) | $ 40,940,154 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Connecticut | ERA - Withdrawn | 1/2/2026 |
| Florida | ERA - Withdrawn | 1/2/2026 |
| Georgia | ERA - Withdrawn | 1/2/2026 |
| Louisiana | ERA - Withdrawn | 1/2/2026 |
| New Jersey | ERA - Withdrawn | 1/2/2026 |
| New York | ERA - Withdrawn | 1/2/2026 |
| North Carolina | ERA - Withdrawn | 1/2/2026 |
| Oregon | ERA - Withdrawn | 1/2/2026 |
| Pennsylvania | ERA - Withdrawn | 1/2/2026 |
| Texas | ERA - Withdrawn | 1/2/2026 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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