Unclaimed
James Riley is an investment advisor representative with Fifth Third Securities, Inc. James Riley has been in the securities industry since May 25, 2000. James Riley is registered in Alabama, Arizona, California, Colorado, Connecticut, Florida, Georgia, Indiana, Kentucky, Maryland, Michigan, New York, North Carolina, Ohio, Oregon, South Carolina, Tennessee, Texas, Virginia, and Washington. James Riley has passed the Series 6, 7, 24, 63, and 66 exams. James Riley specializes in providing financial planning, portfolio management for businesses, and portfolio management for individuals. James Riley also provides other investment advisory services, such as selection of other advisers. James Riley's previous employers include U.S. Bancorp Investments, Inc., Firstar Investment Services, Inc., and 1717 Capital Management Company. James Riley is also the owner/landlord of rental property in Sarasota, FL.
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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