John Wesley Risley Jr
Professional Summary
John Wesley Risley JR, who also goes by John W Risley Jr, is a registered financial advisor currently at L.O. THOMAS & CO. INC. located in Linwood, New Jersey. John is registered as a RR (Registered Representative) and started their career in finance in 1977. John has worked at 3 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53, Series 14, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John W Risley Jr
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Contact Information
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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.
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Years of Experience
49 years in the financial services industry
Current & Past Employments
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Current Firm
L.O. THOMAS & CO. | L.O. THOMAS & CO. INC.
Contact Information
Main Address
Linwood Commons-suite A-6 2106 New Road, Linwood, NJ 08221Mailing Address
Linwood Commmons-suite A-6 2106 New Road Po Box 293, Linwood, NJ 08221Phone Number
(609) 927-4044Established
New Jersey since 03/01/1996Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (22 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RISLEY, JOHN WESLEY JR | PRESIDENT, FINOP, CEO,CCO | 844622 |
Disclosures
Regulatory Event
1Similar Advisors
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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.
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State Registrations and Notice Filings
(11/22/2023)
(1/3/1995)
(7/19/2011)
(3/6/2013)
(6/24/2019)
(10/4/2000)
(10/4/2000)
(2/11/2015)
(11/22/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Wesley Risley JR's CRS (Customer Relationship Summary).
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