Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Riley? Claim Your ProfileRiley Knight is a financial professional with over 15 years of experience in the financial services industry. Riley has a strong background in securities, commodities and investment advisory services. Riley currently holds licenses for Series 3, 7, 63 and SIE exams. Riley is currently employed at Bofa Securities, Inc. Previously, Riley has worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated, Nomura Securities International, Inc., Barclays Capital Inc., Lehman Brothers Inc. and J.P. Morgan Securities Inc. in various capacities. Riley has extensive experience in securities, commodities and investment advisory services and has a proven track record of success in the financial services industry.
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.
Research-related 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.
Negotiated fees for research-related services
1
2
NY
05/10/2019 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
06/04/2013 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/02/2010 - 06/06/2013
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
09/22/2008 - 07/29/2009
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
07/24/2006 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
08/05/2003 - 07/17/2006
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 08/18/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/04/2003
Series 7 - General Securities Representative Examination
BC
Issued 10/09/2002
Series 3 - National Commodity Futures Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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