Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen E. Riley is an investment advisor representative associated with F L Putnam Investment Management Co. Stephen is licensed to provide investment advice in Massachusetts. Stephen has been in the securities industry for 16 years. Stephen's experience includes various roles at a number of firms, including Purshe Kaplan Sterling Investments, Founders Financial Securities LLC, MetLife Securities Inc., Morgan Stanley Smith Barney, and Fidelity Brokerage Services LLC. Stephen is a Registered Representative and has passed the Series 7, Series 63, Series 66, Series 31, Series 99TO, and SIE exams. Stephen is actively involved in the community, serving on the Lynnfield Finance Committee.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Portfolio monitoring and consulting
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.
A percentage of the total value of assets under management is charged.
Assets under advisement
1
2
MA
09/05/2024 - Present
F L Putnam Investment Management Co. (LYNNFIELD MA)
MA
04/06/2020 - 08/01/2023
PURSHE KAPLAN STERLING INVESTMENTS (Wakefield MA)
NH
06/04/2018 - 12/04/2019
FOUNDERS FINANCIAL SECURITIES LLC (Salem NH)
MA
02/07/2012 - 07/28/2017
PURSHE KAPLAN STERLING INVESTMENTS (NORTH ANDOVER MA)
MA
06/15/2009 - 03/29/2010
METLIFE SECURITIES INC. (LOWELL MA)
MA
06/01/2009 - 06/10/2009
MORGAN STANLEY SMITH BARNEY (MIDDLETON MA)
MA
08/18/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (MIDDLETON MA)
NH
08/13/2007 - 03/14/2008
FIDELITY BROKERAGE SERVICES LLC (MERRIMACK NH)
BOTH
Issued 10/08/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/17/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 08/10/2007
Series 7 - General Securities Representative Examination
Active
Inactive
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