Stephen E. Riley

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CRD#: 5341037

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.

Stephen English Riley, AIF®, who also goes by Stephen E Riley, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2007. Stephen had worked at 10 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen E 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) Lynnfield Finance Committee - Not Investment-related - Main St., Lynnfield, MA 01940 - Advisor on town policy only - committee member only - Start: 2013 - 8 hours/month not during securities trading hours - committee member, one of 11, non leadership role, no monetary compensation.

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®

AIF^®

Accredited Investment Fiduciary

Experience

Past

September 5, 2024 - January 31, 2025

F L PUTNAM INVESTMENT MANAGEMENT CO.

RIA

CRD#: 106223

LYNNFIELD, MA

Past

April 6, 2020 - August 1, 2023

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Wakefield, MA

Past

January 14, 2020 - September 3, 2024

IRONSIDE FINANCIAL GROUP, LLC

RIA

CRD#: 306568

WAKEFIELD, MA

Past

June 4, 2018 - December 4, 2019

FOUNDERS FINANCIAL SECURITIES LLC

RIA

CRD#: 137945

Salem, NH

Past

June 4, 2018 - December 4, 2019

FOUNDERS FINANCIAL SECURITIES LLC

CRD#: 137945

Salem, NH

Past

May 21, 2012 - October 16, 2017

NEW ENGLAND INVESTMENT & RETIREMENT GROUP, INC.

RIA

CRD#: 133096

NO. ANDOVER, MA

Past

February 7, 2012 - July 28, 2017

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

NORTH ANDOVER, MA

Past

June 15, 2009 - March 29, 2010

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

LOWELL, MA

Past

June 1, 2009 - June 10, 2009

MORGAN STANLEY

RIA

CRD#: 149777

MIDDLETON, MA

Past

June 1, 2009 - June 10, 2009

MORGAN STANLEY

CRD#: 149777

MIDDLETON, MA

Past

October 21, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

MIDDLETON, MA

Past

August 18, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

MIDDLETON, MA

Past

February 8, 2008 - March 14, 2008

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

MERRIMACK, NH

Past

August 13, 2007 - March 14, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

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".

F L PUTNAM INVESTMENT MANAGEMENT CO.

F L PUTNAM INVESTMENT MANAGEMENT CO. | PUTNAM F L INVESTMENT MANAGEMENT CO | FLP ATRATO CONSULTING

CRD#: 106223 / SEC#: 801-21951

RIA

Registered Investment Advisory firm - (7/30/1984 Approved)

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 66

Date: 10/8/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/17/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/25/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/10/2007

General Securities Representative Examination

Current Firm

F L PUTNAM INVESTMENT MANAGEMENT CO.

F L PUTNAM INVESTMENT MANAGEMENT CO. | PUTNAM F L INVESTMENT MANAGEMENT CO | FLP ATRATO CONSULTING

CRD#: 106223 / SEC#: 801-21951

RIA

Registered Investment Advisory firm - (7/30/1984 Approved)

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Contact information

Main Address

6 Kimball Lane, Lynnfield, MA 01940

Mailing Address

Phone number

(800) 344-3435

Established

Firm type

Fiscal year end

# of Employees

134

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FLP FORM ADV PART 2A (10/29/2025)

Regulatory assets under management

Total Number of Accounts	6,380
AUM (Assets Under Management)	$ 7,695,902,054

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/08/2025	Cover Page	Report
08/21/2025	Cover Page	Report
10/28/2024	Cover Page	Report
12/21/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Stephen E. Riley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

IRONSIDE FINANCIAL GROUP, LLC

FOUNDERS FINANCIAL SECURITIES LLC

FOUNDERS FINANCIAL SECURITIES LLC

NEW ENGLAND INVESTMENT & RETIREMENT GROUP, INC.

PURSHE KAPLAN STERLING INVESTMENTS

MSI FINANCIAL SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

F L PUTNAM INVESTMENT MANAGEMENT CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/8/2008

Series 63

Date: 8/17/2007

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 9/25/2008

Series 7

Date: 8/10/2007

Current Firm

F L PUTNAM INVESTMENT MANAGEMENT CO.

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

F L PUTNAM INVESTMENT MANAGEMENT CO.

TRUST BUT VERIFY

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