Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Riley is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in Tulsa, Oklahoma. Christopher has been in the industry since December 17, 2001. Christopher has been a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. since July 30, 2012. Christopher is licensed in New Jersey, Oklahoma and Texas. Christopher holds Series 4, 7, 9, 10, 55, 57TO, 63 and 66 licenses. Christopher has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since June 2012. Christopher has previously worked for SAXIS GROUP, LLC., CELADON FINANCIAL GROUP LLC, DIMENSION TRADING GROUP, LLC, COWEN AND COMPANY, PIPELINE TRADING SYSTEMS LLC, PIPELINE LIQUIDITY PRO LLC, ROCHDALE SECURITIES LLC, LEERINK SWANN LLC, SUSQUEHANNA INVESTMENT GROUP, SUSQUEHANNA SECURITIES and SUSQUEHANNA CAPITAL GROUP.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
OK
07/14/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Tulsa OK)
FL
11/15/2011 - 06/27/2012
SAXIS GROUP, LLC. (MIAMI BEACH FL)
NJ
09/26/2011 - 11/21/2011
CELADON FINANCIAL GROUP LLC (MORRISTOWN NJ)
NY
05/26/2011 - 07/15/2011
DIMENSION TRADING GROUP, LLC (NEW YORK NY)
NY
11/08/2010 - 04/18/2011
COWEN AND COMPANY (NEW YORK NY)
PA
07/31/2009 - 04/30/2010
PIPELINE TRADING SYSTEMS LLC (NEW HOPE PA)
NY
07/31/2009 - 01/04/2010
PIPELINE LIQUIDITY PRO LLC (NEW YORK NY)
NJ
04/22/2008 - 05/27/2009
ROCHDALE SECURITIES LLC (RED BANK NJ)
NY
07/03/2006 - 03/17/2008
LEERINK SWANN LLC (NEW YORK NY)
PA
02/25/2004 - 09/23/2004
SUSQUEHANNA INVESTMENT GROUP (BALA CYNWYD PA)
PA
02/25/2004 - 09/23/2004
SUSQUEHANNA SECURITIES (BALA CYNWYD PA)
PA
02/02/1999 - 02/25/2004
SUSQUEHANNA CAPITAL GROUP (BALA CYNWYD PA)
BOTH
Issued 07/26/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/10/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/14/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/11/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/05/2007
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/06/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Christopher Riley is the right advisor for you? Invested Better is here to help.
