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Phillip David Riley

Wienken Advisors, Ltd.

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About Phillip David Riley

Phillip Riley is a financial advisor who has been in the industry since 1993. Phillip is currently registered with Wienken Advisors, Ltd. and has a Series 6, 7, 63, 65, and SIE. Phillip is a licensed investment advisor representative in Pennsylvania. Previously Phillip worked at INVEST FINANCIAL CORPORATION and FSC SECURITIES CORPORATION. Phillip offers retirement planning, financial coaching, and educational seminars.

Firm Information

Phillip Riley is currently registered with Wienken Advisors, Ltd.. Wienken Advisors, Ltd. is a firm that offers advisory and coaching services on retirement planning and other financial matters. They also provide educational seminars. The firm has 9 licensed agents, investment advisor representatives, registered representatives, and investment advisory functions. They do not offer any services related to security ratings, market timing, publication of periodicals, selection of other advisors, or portfolio management. They serve various clients, including individuals, high-net-worth individuals, and charitable organizations.

Not reported

Assets Under Management

Not reported

Total Clients

9

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.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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advise and coach on retirement planning issues and other distinct or situational financial matters.

Advise and coach on retirement planning issues and other distinct or situational financial matters.

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Seminar fees; fees for video courses and educational materials

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Phillip Riley’s Registration & Firm History

PA

06/02/2017 - Present

Wienken Advisors, Ltd. (MECHANICSBURG PA)

MD

11/15/2007 - 05/23/2017

INVEST FINANCIAL CORPORATION (FREDERICK MD)

MD

01/27/2006 - 11/16/2007

FSC SECURITIES CORPORATION (FREDERICK MD)

MN

07/01/2002 - 01/30/2006

THRIVENT INVESTMENT MANAGEMENT INC. (MINNEAPOLIS MN)

MN

06/30/1993 - 07/01/2002

LUTHERAN BROTHERHOOD SECURITIES CORP. (MINNEAPOLIS MN)

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Licenses & Designations

IA

Issued 08/22/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/26/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/21/2003

Series 7 - General Securities Representative Examination

BC

Issued 06/29/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Phillip David Riley. Review regulatory record here.
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