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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Timothy? Claim Your ProfileTimothy Riley is a financial advisor with Raymond James & Associates, Inc. located in Greenwich, CT. Timothy has been in the financial services industry since September 1993 and has been registered with Raymond James & Associates, Inc. since December 2016. Previously, Timothy worked with DEUTSCHE BANK SECURITIES INC. and DB ALEX. BROWN LLC. Timothy is registered with the state of Connecticut and has passed the Series 7, Series 55, Series 63, Series 65 and SIE exams.
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.
Please see note in schedule d - miscellaneous
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
CT
12/07/2016 - Present
Raymond James & Associates, Inc. (Greenwich CT)
NY
01/13/2001 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MD
09/01/1997 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
NA
01/02/1996 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
MO
05/16/1994 - 01/03/1996
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
09/27/1993 - 05/16/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
IA
Issued 02/20/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/02/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/2012
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/25/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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