Colin W. 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.
Colin William Riley was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 2015. Colin had worked at 6 firms and has passed the Series 66, Series 63, 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
February 27, 2018 - August 14, 2019
TD AMERITRADE, INC.
February 26, 2018 - August 14, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - August 14, 2019
TD AMERITRADE, INC.
January 27, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
September 20, 2016 - February 26, 2018
SCOTTRADE, INC.
March 11, 2016 - August 29, 2016
STRATEGIC ADVISERS LLC
August 28, 2015 - August 26, 2016
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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