Thomas Riley, financial advisor Longview TX
96 score

Thomas Riley

CRD Number: 4483983
Current Firm: Rbc Capital Markets, LLC

Thomas Riley (CRD# 4483983) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Longview, TX and has over 14 years of experience in the finance industry. Thomas Riley has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Rbc Capital Markets Corporation Longview, TX Mar 2008 - Current 8
Rbc Dain Rauscher Inc. Longview, TX Nov 2001 - Mar 2008 6
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Feb 2002
Contact Info for Thomas E. Riley
Phone Number: 212-858-7000
Firm Website: https://www.rbccm.com
Registered State(s):
  • AR
  • OK
  • TX
  • CA
  • LA
By the Numbers
  • Total Assets Under Management
    76,274
    MILLIONS
  • Total Number of Accounts
    192,243
    ACCOUNTS
  • Average Account Value
    $396,757
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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