Edward A. 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.
Edward A Riley, who also goes by Edward Riley, Edward A Riley Jr, Edward A Riley, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2015. Edward had worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2021 - October 16, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 15, 2021 - October 12, 2022
FIDELITY BROKERAGE SERVICES LLC
April 18, 2019 - December 6, 2019
SANTANDER SECURITIES LLC
March 25, 2019 - December 6, 2019
SANTANDER SECURITIES LLC
October 7, 2015 - September 11, 2017
SANTANDER SECURITIES LLC
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
Series 7TO
Date: 1/28/2022
General Securities Representative ExaminationCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
