Riley A. Otero
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.
Riley Alan Otero, who also goes by Riley Otero, was a registered financial professional .
Riley is a previously registered financial professional and started their career in finance in 2013. Riley had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2018 - January 20, 2019
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
November 25, 2015 - July 17, 2018
WELLS FARGO CLEARING SERVICES, LLC
November 4, 2015 - July 17, 2018
WELLS FARGO CLEARING SERVICES, LLC
June 4, 2013 - March 10, 2014
MORGAN STANLEY
May 7, 2013 - March 10, 2014
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
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
CRD#: 40178 / SEC#: , 8-48984
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JACKSON NATIONAL LIFE INSURANCE COMPANY | OWNER | |
| ASHIOTOU, MARINA | DIRECTOR | 8157690 |
| BINIORIS, SAVVAS PANAGIOTIS | DIRECTOR | 6314984 |
| CHILDS, GARETT JAMES | DIRECTOR | 6288054 |
| CRANMORE, HILARY RAE | DIRECTOR | 4880665 |
| GOLSON, ASHLEY SUZETTE | SVP, NATIONAL SALES DESK | 5461231 |
| KAISER, HEIDI LYNN | SENIOR VICE PRESIDENT AND GENERAL COUNSEL | 3001204 |
| LOWRY, KRISTINE MARIE | VICE PRESIDENT, FINOP AND CONTROLLER | 4168279 |
| LUEBBERS, KEVIN JAMES | SENIOR VICE PRESIDENT, NATIONAL SALES MANAGER | 4399095 |
| LUPTON, RYAN DAVID | CHIEF COMPLIANCE OFFICER | 4822827 |
| MASUCCI, GREGORY R | SVP, STRATEGIC RELATIONSHIPS | 2659967 |
| REED, ALISON RUSS | INTERIM HEAD OF DISTRIBUTION | 3241221 |
Disclosures
| Arbitration | 2 |
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.
