Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jon? Claim Your ProfileJon Barron Riley is a financial advisor with LPL Financial LLC. Jon has been in the financial services industry since 2002. Jon is registered with the state of North Carolina as well as the states of Arizona, Connecticut, New Jersey, New York, Oregon, South Carolina, Texas, and Virginia. Jon is a CERTIFIED FINANCIAL PLANNER™ professional and holds the Series 66, 7, and 24 licenses. Prior to joining LPL Financial LLC, Jon worked for EDWARD JONES, AXA ADVISORS, LLC, and VERITY INVESTMENTS, INC..
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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
NC
07/02/2009 - Present
LPL Financial LLC (CHARLOTTE NC)
MO
02/10/2003 - 10/18/2004
EDWARD JONES (ST. LOUIS MO)
NY
04/09/2002 - 02/26/2003
AXA ADVISORS, LLC (NEW YORK NY)
NC
01/18/2002 - 03/25/2002
VERITY INVESTMENTS, INC. (DURHAM NC)
BOTH
Issued 03/18/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/08/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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