Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Riley? Claim Your ProfileRiley Marie Rogers is a financial advisor with over 25 years of experience in the industry. Riley is currently registered with Oppenheimer & Co. Inc. Riley has held previous positions at Raymond James Financial Services, Inc., RBC Capital Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Legg Mason Wood Walker, Incorporated, and Banc One Securities Corporation. Riley has a broad range of experience in the financial services industry, including experience in investment advisory, brokerage, and financial planning. Riley is also a licensed securities agent. Riley has a strong track record of providing personalized financial advice to clients. Riley holds Series 6, Series 7, and Series 63 licenses, and the SIE Exam.
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.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
TX
01/06/2016 - Present
Oppenheimer & Co. Inc. (HOUSTON TX)
GA
05/22/2015 - 12/31/2015
RAYMOND JAMES FINANCIAL SERVICES, INC. (ATLANTA GA)
GA
08/04/2008 - 05/22/2015
RBC CAPITAL MARKETS, LLC (ATLANTA GA)
TX
12/10/1999 - 07/28/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
MD
12/07/1998 - 10/21/1999
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
02/17/1998 - 11/17/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IL
12/06/1993 - 06/24/1996
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
BC
Issued 12/17/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/1998
Series 7 - General Securities Representative Examination
BC
Issued 12/03/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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