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 professional with over 6 years of experience in the industry. Brian is currently registered with Scotia Capital (usa) Inc. in San Francisco, CA. Brian has previously worked for Houlihan Lokey Capital, Inc., Houlihan Lokey Advisors, LLC, BTIG, LLC, and JMP Securities LLC. Brian is a Series 7, 63, 79, and SIE licensed advisor.
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.
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.
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2
CA
05/30/2024 - Present
Scotia Capital (usa) Inc. (San Francisco CA)
CA
12/10/2021 - 05/29/2024
HOULIHAN LOKEY CAPITAL, INC. (San Francisco CA)
CA
05/12/2021 - 04/19/2024
HOULIHAN LOKEY ADVISORS, LLC (SAN FRANCISCO CA)
CA
07/02/2018 - 04/09/2021
BTIG, LLC (SAN FRANCISCO CA)
CA
06/27/2017 - 06/18/2018
JMP SECURITIES LLC (SAN FRANCISCO CA)
BC
Issued 12/20/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/2018
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 06/27/2017
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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