Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
CHRISTOPHER MARK RILEY
CHRIS RILEY, CHRISTOPHER M RILEY
CRD#: 2463351
IA
Investment Adviser
B
Broker
CAPTRUSTCRD#: 175112 5535 Currituck Drive, Suite 110
Wilmington, NC 28403
CAPFINANCIAL SECURITIES, LLC.CRD#: 126291 5535 Currituck Drive, Suite 110
Wilmington, NC 28403
Registration History
19952000200520102015202020252 FIRMS2000 - 2006 (5 years)2 FIRMS2020 - Present (4 years)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2006 - 2020 (13 years)BPAINEWEBBER INCORPORATED (CRD# 8174)2000 - 2000 (<1 year)BJ.C. BRADFORD & CO. (CRD# 1287)1994 - 2000 (6 years)BOLDE DISCOUNT CORPORATION (CRD# 5979)1994 - 1994 (<1 year)IAFOUNTAIN FINANCIAL ASSOCIATES,... (CRD# 174760)2015 - 2020 (4 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2006 - 2015 (9 years)
Disclosure(s)
View By:
5/15/2009
Customer Dispute
Settled
1/7/2005
Customer Dispute
Settled
License(s)

State Registrations

B
North Carolina 2/6/2020
IA
North Carolina 7/30/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAPTRUST (CRD#:175112)
5535 Currituck Drive, Suite 110, Wilmington, NC 28403
Registered with this firm since 7/30/2020
B
CAPFINANCIAL SECURITIES, LLC. (CRD#:126291)
5535 Currituck Drive, Suite 110, Wilmington, NC 28403
Registered with this firm since 2/3/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/17/2015 - 03/30/2020 FOUNTAIN FINANCIAL ASSOCIATES, INC. (CRD#:174760) WILMINGTON, NC
B
 03/03/2006 - 02/04/2020 CETERA ADVISOR NETWORKS LLC (CRD#:13572) WILMINGTON, NC
IA
 03/09/2006 - 06/10/2015 CETERA ADVISOR NETWORKS LLC (CRD#:13572) WILMINGTON, NC
IA
 10/20/2000 - 03/06/2006 DAVENPORT & COMPANY LLC (CRD#:1588) SMITHFIELD, NC
B
 10/04/2000 - 03/06/2006 DAVENPORT & COMPANY LLC (CRD#:1588) SMITHFIELD, NC
B
 08/14/2000 - 10/19/2000 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 06/23/1994 - 08/14/2000 J.C. BRADFORD & CO. (CRD#:1287) NEW YORK, NY
B
 04/29/1994 - 06/29/1994 OLDE DISCOUNT CORPORATION (CRD#:5979) DETROIT, MI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.