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RH

Riley E. Harris

RED MOUNTAIN SECURITIES LLC
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 7968518
RH

Professional summary

Riley Elizabeth Harris is a registered financial professional currently at RED MOUNTAIN SECURITIES LLC located in Los Angeles, California.

Riley is registered as a RR (Registered Representative) and started their career in finance in 2024. Riley has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Riley Elizabeth Harris'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®
None

Experience

Current

December 5, 2024 - Present

RED MOUNTAIN SECURITIES LLC

Office #1: 10250 Constellation Blvd 23rd Floor, Los Angeles, CA 90067
BD
CRD#: 317716
Los Angeles, CA

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
California
(12/5/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/14/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/5/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/27/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

RM
RED MOUNTAIN SECURITIES LLC
RED MOUNTAIN SECURITIES LLC

CRD#: 317716 / SEC#: , 8-70831

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
10250 Constellation Blvd 23rd Floor, Los Angeles, CA 90067
Mailing Address
10250 Constellation Blvd 23rd Floor, Los Angeles, CA 90067
Phone number
(253) 632-3718
Established
Delaware since 11/05/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
RED MOUNTAIN CAPITAL ADVISORS LLCSOLE MEMBER
COLLAR, CRAIG WYATTCO-CHIEF EXECUTIVE OFFICER3107805
COLLAR, CRAIG WYATTCHIEF COMPLIANCE OFFICER, AMLCO3107805
TAO, BING QINFINOP/PFO/POO6253793
TEETS, JOHN CHRISTOPHERCO-CHIEF EXECUTIVE OFFICER2523235

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

RED MOUNTAIN SECURITIES LLC

CRD#: 317716Los Angeles, CA 90067

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