Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Bragg Riley has been in the financial services industry since 1977. Riley is currently registered with LPL Financial LLC as a Registered Representative and Investment Advisor Representative. Riley is also registered with the state of New York as an Investment Advisor Representative. Stephen Bragg Riley is also a registered representative with FINRA and has been registered with the state of Texas as an Investment Advisor Representative since 2013. Riley has held previous roles with UBS Financial Services Inc, Paine, Webber, Jackson & Curtis Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
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.
Consulting and other non-discretionary advisory 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.
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
08/14/2013 - Present
LPL Financial LLC (FAIRPORT NY)
NJ
01/31/1980 - 04/02/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NA
06/12/1979 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
NA
09/26/1978 - 06/21/1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
04/21/1977 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 10/03/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/29/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/05/1982
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/21/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 12/21/1983
Series 5 - Interest Rate Options Examination
BC
Issued 10/27/1982
Series 3 - National Commodity Futures Examination
BC
Issued 09/01/1977
PC - AMEX Put and Call Exam
BC
Issued 04/16/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Stephen Riley is the right advisor for you? Invested Better is here to help.
