Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arnold? Claim Your ProfileArnold Riley is a financial advisor with over 35 years of experience in the industry. Arnold has held various positions at reputable firms such as Dean Witter Reynolds Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Raymond James & Associates, Inc. Currently, Arnold is a registered representative with LPL Financial LLC in Sugar Land, TX. Arnold holds several licenses and designations, including the Series 3, 7, 63, and 65 licenses and is also a Certified Financial Planner. Arnold offers a range of financial services, including financial planning, portfolio management, and investment advisory services for individuals and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
10/01/2024 - Present
LPL Financial LLC (SUGAR LAND TX)
TX
07/14/2005 - 12/31/2017
RAYMOND JAMES & ASSOCIATES, INC. (HOUSTON TX)
NY
05/01/1995 - 07/26/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MO
09/04/1990 - 05/04/1995
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
04/24/1990 - 09/04/1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
NY
08/20/1987 - 05/09/1990
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
07/31/1979 - 08/26/1987
ROTAN MOSLE INC.
NA
09/26/1978 - 07/29/1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
03/01/1978 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 11/02/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/05/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/1983
Series 3 - National Commodity Futures Examination
BC
Issued 02/18/1978
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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