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Detailed Report
TIMOTHY JASON RILEY
CRD#: 4796639
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1405 N GREEN MOUNT RD
STE 200
O FALLON, IL 62269
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2010 - 2019 (8 years)2 FIRMS2019 - Present (5 years)BMORGAN KEEGAN & COMPANY, INC. (CRD# 4161)2007 - 2010 (3 years)BPFIC SECURITIES CORPORATION (CRD# 34941)2005 - 2007 (1 year)BFISERV INVESTOR SERVICES, INC. (CRD# 34637)2004 - 2005 (<1 year)IAMORGAN KEEGAN & COMPANY, INC. (CRD# 4161)2008 - 2010 (2 years)
License(s)

State Registrations

B
Arizona 11/14/2022
B
Massachusetts 6/12/2023
B
Arkansas 6/12/2023
B
Missouri 6/26/2019
B
California 6/26/2019
B
Nevada 8/10/2021
B
Colorado 6/26/2019
B
Tennessee 6/26/2019
B
Florida 6/26/2019
B
Texas 8/4/2022
B
Illinois 6/26/2019
IA
Texas 8/19/2022
IA
Illinois 6/26/2019
B
Utah 6/12/2023
B
Maryland 9/17/2024
B
Wisconsin 6/26/2019

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
WELLS FARGO ADVISORS (CRD#:19616)
1405 N GREEN MOUNT RD STE 200, O FALLON, IL 62269
Registered with this firm since 6/26/2019
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1405 N GREEN MOUNT RD STE 200, O FALLON, IL 62269
Registered with this firm since 6/26/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/05/2010 - 06/28/2019 MORGAN STANLEY (CRD#:149777) ST. LOUIS, MO
B
 11/05/2010 - 06/28/2019 MORGAN STANLEY (CRD#:149777) ST. LOUIS, MO
IA
 06/30/2008 - 11/11/2010 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) SWANSEA, IL
B
 04/05/2007 - 11/11/2010 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) SWANSEA, IL
B
 06/21/2005 - 04/05/2007 PFIC SECURITIES CORPORATION (CRD#:34941) FRANKLIN, TN
B
 11/26/2004 - 03/15/2005 FISERV INVESTOR SERVICES, INC. (CRD#:34637) HOUSTON, TX
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.