Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Riley is a financial advisor at Rockefeller Financial LLC. Brian is a veteran advisor with over 25 years of experience. He is a registered representative in 51 states and the District of Columbia. Brian has held a variety of positions in the financial services industry, including working for Merrill Lynch and First Republic Securities. He is a certified Financial Planner and has a Series 7, 10, 9, 31, 63, and 65 license. Brian specializes in providing financial planning, portfolio management, and investment advice to individuals, families, and businesses. He is committed to providing his clients with personalized service and sound financial advice.
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.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
04/01/2020 - Present
Rockefeller Financial LLC (San Francisco CA)
CA
07/15/2015 - 06/26/2019
FIRST REPUBLIC SECURITIES COMPANY, LLC (San Francisco CA)
CA
09/13/1996 - 07/07/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
IA
Issued 08/09/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/26/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/14/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/14/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 07/10/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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