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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Riley is an active investment advisor registered with the state of Washington and Texas. He is currently employed by Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with the firm since 2012. Before joining Merrill Lynch, Patrick has worked in the industry for various companies, including Edward Jones and Key Investment Services LLC. Patrick holds various certifications, including Series 6, 7, 63, 66, 9 and 10 and is specialized in offering Portfolio Management for Individuals and Businesses, Pension Consulting and Educational Seminars. Patrick Riley's previous employment history includes roles at various organizations like Bank of America, N.A. and Spartan Concrete.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
WA
12/15/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MERCER ISLAND WA)
WA
06/10/2013 - 01/03/2014
EDWARD JONES (KENT WA)
WA
07/20/2012 - 03/11/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BELLEVUE WA)
OH
01/18/2006 - 05/05/2006
KEY INVESTMENT SERVICES LLC (BROOKLYN OH)
OH
02/22/2005 - 01/18/2006
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
BOTH
Issued 08/16/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/01/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/19/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/18/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/2012
Series 7 - General Securities Representative Examination
BC
Issued 02/21/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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