RA
Riley J. Aviles
CITIZENS JMP SECURITIES
New York, NY 10019
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CRD#: 6680738
RA
Professional summary
Riley John Aviles is a registered financial professional currently at CITIZENS JMP SECURITIES, LLC located in New York, New York.
Riley is registered as a RR (Registered Representative) and started their career in finance in 2017. Riley has worked at 3 firms and has passed the Series 66, Series 57TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Riley John Aviles'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
September 16, 2022 - Present
CITIZENS JMP SECURITIES, LLC
Office #1: 1301 Avenue Of The Americas 2nd Floor, New York, NY 10019BD
CRD#: 22208
New York, NY
Past
October 28, 2019 - September 12, 2022
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
July 23, 2019 - September 12, 2022
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
June 30, 2017 - August 14, 2017
MERIDIAN EQUITY PARTNERS, INC.
BD
CRD#: 133849
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(9/16/2022)
RR
Alaska(9/16/2022)
RR
Arizona(9/16/2022)
RR
Arkansas(9/16/2022)
RR
California(9/16/2022)
RR
Colorado(9/16/2022)
RR
Connecticut(9/16/2022)
RR
Delaware(9/16/2022)
RR
District of Columbia(9/16/2022)
RR
Florida(9/16/2022)
RR
Georgia(9/16/2022)
RR
Hawaii(9/16/2022)
RR
Idaho(9/16/2022)
RR
Illinois(9/16/2022)
RR
Indiana(9/16/2022)
RR
Iowa(9/16/2022)
RR
Kansas(9/16/2022)
RR
Kentucky(9/16/2022)
RR
Louisiana(9/16/2022)
RR
Maine(9/16/2022)
RR
Maryland(9/16/2022)
RR
Massachusetts(9/16/2022)
RR
Michigan(9/16/2022)
RR
Minnesota(9/16/2022)
RR
Mississippi(9/16/2022)
RR
Missouri(9/16/2022)
RR
Montana(9/16/2022)
RR
Nebraska(9/16/2022)
RR
Nevada(9/16/2022)
RR
New Hampshire(9/16/2022)
RR
New Jersey(9/16/2022)
RR
New Mexico(9/16/2022)
RR
New York(9/16/2022)
RR
North Carolina(9/16/2022)
RR
North Dakota(9/16/2022)
RR
Ohio(9/16/2022)
RR
Oklahoma(9/16/2022)
RR
Oregon(9/16/2022)
RR
Pennsylvania(9/16/2022)
RR
Rhode Island(9/16/2022)
RR
South Carolina(9/16/2022)
RR
South Dakota(9/16/2022)
RR
Tennessee(9/16/2022)
RR
Texas(9/16/2022)
RR
Utah(9/16/2022)
RR
Vermont(9/16/2022)
RR
Virginia(9/16/2022)
RR
Washington(9/16/2022)
RR
West Virginia(9/16/2022)
RR
Wisconsin(9/16/2022)
RR
Wyoming(9/16/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 2/8/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 7TO
Date: 7/23/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CJ
CITIZENS JMP SECURITIES, LLC
CITIZENS | TRINITY CAPITAL | MITCHUM, JONES & TEMPLETON, INC. | JOLSON MERCHANT PARTNERS | JMP SECURITIES LLC | JMP SECURITIES | DH CAPITAL | CITIZENS M&A ADVISORY | CITIZENS JMP SECURITIES, LLC | CITIZENS JMP | CITIZENS CAPITAL MARKETS & ADVISORY | CITIZENS CAPITAL MARKETS
CRD#: 22208 / SEC#: , 8-39613
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
101 California Street Ste 1700, San Francisco, CA 94111
Mailing Address
101 California Street Ste 1700, San Francisco, CA 94111
Phone number
(415) 835-8900
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| MANNING, SIMON STONE | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 1941279 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
| Regulatory Event | 6 |
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.
