Riley Henry
Professional Summary
Riley Henry, who also goes by Riley Patrick Henry, is a registered financial advisor currently at MML STRATEGIC DISTRIBUTORS, LLC located in Springfield, Massachusetts. Riley is registered as a RR (Registered Representative) and started their career in finance in 2018. Riley has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Riley Henry, Riley Patrick Henry
Similar Advisors
OSAIC WEALTH, INC.
BATLEY & ASSOCIATES
INDEPENDENT FINANCIAL GROUP, LLC
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
BATLEY & ASSOCIATES
INDEPENDENT FINANCIAL GROUP, LLC
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
BATLEY & ASSOCIATES
INDEPENDENT FINANCIAL GROUP, LLC
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
BATLEY & ASSOCIATES
INDEPENDENT FINANCIAL GROUP, LLC
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
Years of Experience
8 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
OSAIC WEALTH, INC.
BATLEY & ASSOCIATES
INDEPENDENT FINANCIAL GROUP, LLC
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
Current Firm
MML STRATEGIC DISTRIBUTORS, LLC
Contact Information
Main Address
1295 State Street, Springfield, MA 01111-0001Mailing Address
1295 State Street, Springfield, MA 01111-0001Phone Number
(413) 744-4528Established
Delaware since 06/07/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | MEMBER | — |
| BAGGETTA, VINCENT COSIMO | CHIEF RISK OFFICER | 2431743 |
| BLUE, DOMINIC | DIRECTOR | 7323924 |
| DIGANGI, MATTHEW T | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 3229894 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| GIARDIELLO, GREGORY JOSEPH | DIRECTOR | 8256045 |
| LORENZON, DIMITRI | DIRECTOR | 8357599 |
| PUHALA, JAMES | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5290483 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
Disclosures
Regulatory Event
1Similar Advisors
OSAIC WEALTH, INC.
BATLEY & ASSOCIATES
INDEPENDENT FINANCIAL GROUP, LLC
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OSAIC WEALTH, INC.
BATLEY & ASSOCIATES
INDEPENDENT FINANCIAL GROUP, LLC
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
State Registrations and Notice Filings
(10/5/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2018About the Series 6 examSRO Registrations
Similar Advisors
OSAIC WEALTH, INC.
BATLEY & ASSOCIATES
INDEPENDENT FINANCIAL GROUP, LLC
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC
CRS (Client Relationship Summary) - BD
Click below to view Riley Henry's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
BATLEY & ASSOCIATES
INDEPENDENT FINANCIAL GROUP, LLC
GRAHAM CAPITAL WEALTH MANAGEMENT, LLC