Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul D. Riley is a financial professional with over 16 years of experience in the securities industry. Paul is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and is located in New York, NY. Paul holds several industry licenses, including Series 7, 10, 24 and 63, and has a broad range of experience in providing financial advice. Prior to joining Merrill Lynch, Paul worked for Fidelity Brokerage Services LLC. Paul is dedicated to providing personalized financial guidance and helping clients achieve their investment goals.
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
NY
06/29/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
MA
11/10/2006 - 04/07/2011
FIDELITY BROKERAGE SERVICES LLC (BOSTON MA)
RI
01/02/2000 - 10/05/2000
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
BC
Issued 05/29/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/04/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/2006
Series 7 - General Securities 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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