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Timothy Riley
32 Years of Experience
Greenwich, CT
1 DisclosureBroker
Timothy Riley is a registered investment advisor at Raymond James & Associates, INC., based in Greenwich, CT, with 32 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
Three Pickwick Plaza, 4th Floor, Greenwich, CT, 06830
Get directionsHistory
Regulatory History (1)
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Customer Dispute
October 1998Denied
Employment History
Current Registrations
Raymond James & Associates, INC.
December 2016 - Present · 9 yrs 5 mos
Raymond James & Associates, INC.Broker
September 2016 - Present · 9 yrs 8 mos
Previous Registrations
Deutsche Bank Securities INC.Broker
January 2001 - September 2016 · 15 yrs 8 mos
Db Alex. Brown LLCBroker
September 1997 - January 2001 · 3 yrs 4 mos
Alex. Brown & Sons IncorporatedBroker
January 1996 - September 1997 · 1 yr 8 mos
A. G. Edwards & Sons, INC.Broker
May 1994 - January 1996 · 1 yr 8 mos
Smith Barney Shearson INC.Broker
September 1993 - May 1994 · 8 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.