Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Riley is a financial advisor with over 20 years of experience in the financial services industry. James is currently registered with Equity Services, Inc. and holds a Series 65, Series 66, Series 7, and Series 31 licenses. James's previous experience includes positions at Paulson Investment Company LLC, Equitable Advisors, LLC, PRUCO Securities, LLC., ONEAMERICA SECURITIES, INC., and other notable firms. James is a dedicated financial professional who is committed to helping clients achieve their financial goals.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NJ
10/31/2023 - Present
Equity Services, Inc. (BOONTON NJ)
NY
05/24/2023 - 07/17/2023
PAULSON INVESTMENT COMPANY LLC (NEW YORK NY)
NJ
07/28/2022 - 05/24/2023
EQUITABLE ADVISORS, LLC (SADDLE BROOK NJ)
NJ
04/26/2021 - 03/10/2022
PRUCO SECURITIES, LLC. (Basking Ridge NJ)
NJ
01/31/2018 - 05/14/2021
ONEAMERICA SECURITIES, INC. (Parsippany NJ)
NJ
04/02/2015 - 01/30/2018
EQUITY SERVICES, INC. (FAIRFIELD NJ)
NJ
02/18/2015 - 04/01/2015
LANTERN INVESTMENTS, INC. (HOBOKEN NJ)
NJ
03/04/2013 - 03/04/2015
OPPENHEIMER & CO. INC. (FLORHAM PARK NJ)
NJ
08/13/2009 - 03/12/2013
R. SEELAUS & CO.,INC. (SUMMIT NJ)
NJ
01/14/2008 - 06/23/2009
TD AMERITRADE, INC. (SHORT HILLS NJ)
NY
11/08/2006 - 01/15/2008
WESTERN INTERNATIONAL SECURITIES, INC. (MELVILLE NY)
NJ
07/01/2005 - 11/07/2006
A. G. EDWARDS & SONS, INC. (SHORT HILLS NJ)
CA
03/10/2003 - 07/01/2005
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
NY
07/14/2000 - 02/12/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 09/23/2022
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 08/04/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 07/13/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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