Roger Riley, financial advisor San Antonio TX
83 score

Roger Riley

CRD Number: 1224575
Current Firm: Wells Fargo Advisors, LLC

Roger Riley (CRD# 1224575) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in San Antonio, TX and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Advisors LLC San Antonio, TX Jun 2014 - Current 2
Ameriprise Financial Services, Inc. San Antonio, TX Oct 2009 - Jun 2014 4
Ameriprise Advisor Services San Antonio, TX Apr 2009 - Jun 2014 5
Ubs Financial Services Inc. San Antonio, TX May 1987 - Apr 2009 21
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1984
S65 NASAA Investment Advisors Law Examination Jan 1997
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Roger B. Riley
Phone Number: 314-875-3000
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    372,113
    MILLIONS
  • Total Number of Accounts
    1,339,368
    ACCOUNTS
  • Average Account Value
    $277,827
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • 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)
  • 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, 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
83

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