Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Riley is a financial advisor who has been in the industry since May 2, 1998. Michael is registered with LPL Financial LLC in New Jersey and New York. Michael has held previous positions with M&T Securities, Inc., HSBC Securities (USA) Inc., Cadaret, Grant & Co., Inc., MetLife Securities Inc., Metropolitan Life Insurance Company, Prudential Securities Incorporated, and Advest, Inc. Michael holds licenses in Series 7, Series 10, Series 63 and Series 65. Michael currently works out of the Elmira, NY office.
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.
1
2
NY
08/03/2021 - Present
LPL Financial LLC (ELMIRA NY)
NY
10/28/2011 - 11/06/2013
M&T SECURITIES, INC. (PAINTED POST NY)
NY
10/26/2005 - 10/24/2011
HSBC SECURITIES (USA) INC. (ELMIRA NY)
NY
01/22/2004 - 10/14/2005
CADARET, GRANT & CO., INC. (SYRACUSE NY)
MA
04/29/2003 - 08/22/2003
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
04/29/2003 - 08/22/2003
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NY
04/20/2001 - 10/07/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CT
03/20/1997 - 04/26/2001
ADVEST, INC. (HARTFORD CT)
IA
Issued 04/19/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/14/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/29/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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