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John Riley

Wells Fargo Securities, LLC

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About John Riley

John Riley is a financial professional with over 6 years of experience in the industry. John is currently registered with Wells Fargo Securities, LLC. John holds the Series 63, Series 7TO, SIE and Series 79 licenses. Previously, John worked at CIBC World Markets Corp. and Credit Suisse Securities (USA) LLC. John is registered in 53 states and the District of Columbia.

Firm Information

John Riley is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

Total Financial Advisors

Services Offered

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.

Fee Structure

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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John Riley’s Registration & Firm History

NC

06/16/2021 - Present

Wells Fargo Securities, LLC (CHARLOTTE NC)

NY

04/20/2016 - 05/21/2021

CIBC WORLD MARKETS CORP. (NEW YORK NY)

NC

01/31/2015 - 05/03/2016

CREDIT SUISSE SECURITIES (USA) LLC (Research Triangle Park NC)

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Licenses & Designations

BC

Issued 05/26/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/14/2021

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/31/2015

Series 79 - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for John Riley.
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