Thomas RileyCRD 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 16 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.
Stifel, Nicolaus & Company, Incorporated
1st Global Advisors Inc.
Royal Alliance Associates, Inc.
|Rbc Capital Markets Corporation||Longview, TX||Mar 2008 - Current||10|
|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|
Total Assets Under Management106,032MILLIONS
Total Number of Accounts254,944ACCOUNTS
Average Account Value$415,903
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- 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
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, WY