RS
Riley Saunders
CASSADAY & COMPANY
Mclean, VA 22102
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CRD#: 6501118
RS
Professional summary
Riley Saunders is a registered financial advisor currently at CASSADAY & COMPANY, INC. located in Mclean, Virginia and OSAIC WEALTH, INC. located in Mclean, Virginia.
Riley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Riley has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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.
1. CASSADAY & CO WEALTH MANAGEMENT, LLC POSITION: Financial Planning Services Manager NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/11/2019 ADDRESS: 8180 Greensboro Drive, Suite 1180, McLean VA 22102, United States DESCRIPTION: Work with the Director of Financial Planning to help create new deliverables and manage processes within the Financial Planning department Monitor CRM workflows and tasks to ensure templates are up-to-date and flows in a linear fashion. Collaborate with members of the Financial Planning department to manage our processes and ensure SOPs are created when necessary and maintain up-to-date. Ex: Help establish an onboarding booklet for new hires specific to the FP department; outlining any processes and procedures Assist with onboarding new hires/interns and help establish training schedules Oversee technologies and initiate conversations for new software when needed Keep a pulse on Financial Planning department, assist with delegating workflows, and help maintain parity within the team Assisting with advising clients about the implication of specific financial decisions. Understanding clients' goals and using them as guideposts for any financial advice that is offered. Gathering necessary data in order to ensure that any advice offered to a client is the best and will expose them to minimum risk. Determining whether the client has sufficient resources to meet his goals within a specified time limit. Assisting with advising clients on how well to manage the risks posed in their cash flow. Assisting with advising and preparing analysis for a client including retirement cash flow projections, Social Security income analysis, pension plan analysis, etc. Assisting with advising and preparing tax analysis in order to ensure tax liabilities for the client are reduced. Meeting with new and existing clients alongside the Advisor. Preparing PowerPoint presentations for the Advisors for prospective client meetings. Providing a high level of service to Advisor's clients. Producing error-free documents and correspondence that have been proofed, edited and reviewed by Manager and/or Advisor prior to sending to clients. Fully utilizing and keeping up-to-date records and tasks for clients. Adhering to the Firm and Department's Best Practices. Assisting with department requests as needed. 2. CASSADAY & COMPANY POSITION: Notary NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2021 ADDRESS: 8180 Greensboro Drive, Suite 1180, McLean VA 22102, United States DESCRIPTION: Notarize documents for our clients
CRS (Client Relationship Summary) - RIA
Click below to view Riley Saunders'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
July 5, 2023 - Present
CASSADAY & COMPANY, INC.
Office #1: 8180 Greensboro Drive Suite 1180, Mclean, VA 22102RIA
CRD#: 317672
Mclean, VA
Current
March 17, 2020 - Present
OSAIC WEALTH, INC.
Office #1: 8180 Greensboro Dr. Suite 1180, Mclean, VA 22102RIA
BD
CRD#: 23131
Mclean, VA
Past
March 17, 2020 - April 11, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
SCOTTSDALE, AZ
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".
C&
CASSADAY & COMPANY, INC.
CASSADAY & CO WEALTH MANAGEMENT LLC | CASSADAY & COMPANY, INC.
CRD#: 317672 / SEC#: 801-122868
RIA
Registered Investment Advisory firm - (12/16/2021 Approved)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
Virginia(3/17/2020)
IAR
Virginia(7/5/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/17/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
C&
CASSADAY & COMPANY, INC.
CASSADAY & CO WEALTH MANAGEMENT LLC | CASSADAY & COMPANY, INC.
CRD#: 317672 / SEC#: 801-122868
RIA
Registered Investment Advisory firm - (12/16/2021 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8180 Greensboro Drive Suite 1180, Mclean, VA 22102
Mailing Address
Phone number
(703) 506-8200
Established
Firm type
Fiscal year end
# of Employees
84
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,155 |
| AUM (Assets Under Management) | $ 5,982,798,469 |
Red Flags
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