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RH

Riley D. Hunter

Some features on this profile are disabled
CRD#: 6728551
RH

Professional summary

Riley David Hunter, who also goes by Riley D Hunter, was a registered financial professional .

Riley is registered as a RR (Registered Representative) and started their career in finance in 2019. Riley had worked at 3 firms and has passed the Series 63, Series 3, Series 7TO, SIE and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Riley D Hunter

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 29, 2024 - October 1, 2024

PFM FUND DISTRIBUTORS, INC.

BD
CRD#: 114474
Omaha, NE
Past

November 3, 2023 - August 2, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Omaha, NE
Past

July 10, 2019 - November 3, 2023

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE

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
Kansas
(10/1/2024)
RR
Missouri
(10/1/2024)
RR
Nebraska
(10/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/20/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 6/30/2021
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/10/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/8/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/24/2023
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PFM FUND DISTRIBUTORS, INC.
PFM FUND DISTRIBUTORS, INC. | PFMAM, INC.

CRD#: 114474 / SEC#: , 8-53496

BD
Terminated by SEC on 12/06/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 07/16/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CLARK, SHANNON KEITHFINANCIAL & OPERATIONS PRINCIPAL5829700
WALTER, JEFFREY ADAMCHIEF COMPLIANCE OFFICER2143608

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.

Company Information

PFM FUND DISTRIBUTORS, INC.

CRD#: 114474

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