Aaron J. 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.
Aaron Joseph Riley, who also goes by Aaron Riley, was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 2016. Aaron had worked at 2 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2023 - June 21, 2024
SYNAPSE BROKERAGE LLC
May 23, 2016 - January 21, 2022
MORGAN STANLEY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SYNAPSE BROKERAGE LLC
CRD#: 137662 / SEC#: , 8-67105
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNAPSE FINANCIAL TECHNOLOGIES INC. | EQUITY OWNER | |
| PAVERMAN, MARK ELLIOT | CCO | 1046105 |
Disclosures
| Regulatory Event | 4 |
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.
