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Thomas Edward Riker

Southeast Investments, N.c., Inc.

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About Thomas Edward Riker

Thomas Riker is a registered representative with Southeast Investments, N.c., Inc. located in CHARLOTTE, NC. Thomas has been in the industry since October 18, 1998. Thomas is registered to conduct business in Florida and New Jersey. The firm has been in business since 5/16/2013. Southeast Investments, N.c., Inc. specializes in providing financial planning, portfolio management for individuals and businesses, and selection of other advisors.

Firm Information

Thomas Riker is currently registered with Southeast Investments, N.c., Inc.. Southeast Investments, N.c., Inc. is a Corporation that was formed on December 6, 1996. They are a registered investment advisor with the SEC and all 51 states. They provide financial planning, selection of other advisors, portfolio management for businesses, and portfolio management for individuals. They also offer wrap fee program participation.

Not reported

Assets Under Management

Not reported

Total Clients

45

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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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Offer products as a b/d on a commission basis

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Thomas Riker’s Registration & Firm History

NC

05/16/2013 - Present

Southeast Investments, N.c., Inc. (CHARLOTTE NC)

NJ

07/21/2008 - 05/20/2013

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. (HACKETTSTOWN NJ)

NJ

08/01/2003 - 07/22/2008

WALNUT STREET SECURITIES, INC. (HACKETTSTOWN NJ)

NY

02/15/2002 - 08/01/2003

NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)

AZ

10/19/1998 - 03/01/2002

SUNAMERICA SECURITIES, INC. (PHOENIX AZ)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/05/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Edward Riker.
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