Frank A. Riley Jr.
Professional Summary
Frank A. Riley Jr. is a registered financial advisor currently at HARDY REED, LLC located in Tupelo, Mississippi. Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Frank has worked at 1 firm and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OSAIC WEALTH, INC.
WEDBUSH SECURITIES INC.
AMERIPRISE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OSAIC WEALTH, INC.
WEDBUSH SECURITIES INC.
AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OSAIC WEALTH, INC.
WEDBUSH SECURITIES INC.
AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OSAIC WEALTH, INC.
WEDBUSH SECURITIES INC.
AMERIPRISE FINANCIAL SERVICES, LLC
Years of Experience
5 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OSAIC WEALTH, INC.
WEDBUSH SECURITIES INC.
AMERIPRISE FINANCIAL SERVICES, LLC
Current Firm
COMMODORE INVESTMENT COMPANY, INC. | HARDY REED, LLC | HARDY REED FRUGE CAPITAL ADVISORS, LLC | HARDY REED CAPITAL ADVISORS, LLC | HARDY REED | COMMODORE INVESTMENT COMPANY, LLC
Contact Information
Main Address
101 S. Front Street, Tupelo, MS 38804Mailing Address
P.o. Box 437, Tupelo, MS 38802-0437Phone Number
(662) 823-4722# of Employees
18SEC notice filing (10 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
997AUM (Assets Under Management)
$2,890,705,950Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OSAIC WEALTH, INC.
WEDBUSH SECURITIES INC.
AMERIPRISE FINANCIAL SERVICES, 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.
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OSAIC WEALTH, INC.
WEDBUSH SECURITIES INC.
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
COMMODORE INVESTMENT COMPANY, INC. | HARDY REED, LLC | HARDY REED FRUGE CAPITAL ADVISORS, LLC | HARDY REED CAPITAL ADVISORS, LLC | HARDY REED | COMMODORE INVESTMENT COMPANY, LLC
State Registrations and Notice Filings
(5/21/2021)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OSAIC WEALTH, INC.
WEDBUSH SECURITIES INC.
AMERIPRISE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Frank A. Riley Jr.'s CRS (Customer Relationship Summary).
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OSAIC WEALTH, INC.
WEDBUSH SECURITIES INC.
AMERIPRISE FINANCIAL SERVICES, LLC