Denis M. Riley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Denis Malcolm Riley was a registered financial advisor .
Denis is a previously registered financial advisor and started their career in finance in 1977. Denis had worked at 17 firms and has passed the Series 65, Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2013 - January 29, 2014
ESSEX NATIONAL SECURITIES, LLC
March 8, 2013 - March 28, 2013
ESSEX NATIONAL SECURITIES, LLC
October 1, 2012 - February 12, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - February 12, 2013
J.P. MORGAN SECURITIES LLC
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 25, 2007 - May 2, 2009
WAMU INVESTMENTS, INC.
May 1, 2002 - May 2, 2009
WAMU INVESTMENTS, INC.
June 11, 1997 - May 1, 2002
DIME SECURITIES, INC.
November 18, 1996 - June 9, 1997
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
August 21, 1996 - October 7, 1996
CHASE INVESTMENT SERVICES CORP.
February 20, 1995 - August 21, 1996
FISERV INVESTOR SERVICES, INC.
April 20, 1994 - June 15, 1994
BEACON SECURITIES, INC.
July 31, 1993 - April 6, 1994
CITIGROUP GLOBAL MARKETS INC.
October 12, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
January 1, 1989 - June 26, 1989
FORESTERS FINANCIAL SERVICES, INC.
January 7, 1988 - January 5, 1989
FIRST LIBERTIES FINANCIAL
December 23, 1985 - December 21, 1987
MORGAN STANLEY DW INC.
September 25, 1981 - January 20, 1986
LEHMAN BROTHERS INC.
September 8, 1980 - October 13, 1981
PRUDENTIAL EQUITY GROUP, LLC
February 23, 1979 - September 25, 1980
MOSELEY SECURITIES CORPORATION
June 28, 1978 - February 23, 1979
MOSELEY, HALLGARTEN & ESTABROOK INC
July 1, 1977 - August 11, 1978
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
ESSEX NATIONAL SECURITIES, LLC
CRD#: 25454 / SEC#: 801-70990, 8-41750
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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