Unclaimed
James Riley is a financial advisor with Fifth Third Securities, Inc. based in West Chester, OH. James has been in the financial services industry since 2000 and has experience serving individuals, businesses, investment companies, and charitable organizations. James holds multiple licenses and registrations to provide 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.
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.
Sponsor wrap fee program
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.
A percentage of the total value of assets under management is charged.
1
2
OH
12/26/2008 - Present
Fifth Third Securities, Inc. (WEST CHESTER OH)
KY
12/01/2001 - 11/06/2008
U.S. BANCORP INVESTMENTS, INC. (DANVILLE KY)
NJ
09/19/2000 - 12/01/2001
FIRSTAR INVESTMENT SERVICES,INC. (MORRIS PLAINS NJ)
DE
04/28/2000 - 08/31/2000
1717 CAPITAL MANAGEMENT COMPANY (NEWARK DE)
BOTH
Issued 10/11/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 3/28/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 4/11/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/17/2006
Series 7 - General Securities Representative Examination
BC
Issued 4/27/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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