Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 25, 2018 indicate that a current Riley Wealth Advisor and former Texas-based Silver Oak Securities broker/adviser William Riley, who has received resolved or pending customer disputes, recently resigned from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Riley (CRD# 1493287).
William Riley has spent 32 years in the securities industry and was most recently registered as a broker with Silver Oak Securities in Fort Worth, Texas (2008-2018); he is currently registered as an investment adviser with Riley Wealth Advisors in Fort Worth, Texas, where he has been registered since 2008. Previous registrations include Raymond James & Associates in Fort Worth, Texas (2002-2008); UBS Painewebber in Weehawken, New Jersey (2000-2002); JC Bradford & Company in New York, New York (1998-2000); Merrill Lynch in New York, New York (1993-1998); Jefferson-Pilot Investor Services in Fort Wayne, Indiana (1991-1993); Amev Investors in Oakdale, Minnesota (1990-1991); USLife Equity Sales Corporation in New York, New York (1986-1990); and Philadelphia Life Asset Planning Company (1986). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 9, 1986; Series 3 (National Commodity Futures Examination), which he obtained on August 31, 2001; Series 7 (General Securities Representative Examination), which he obtained on June 8, 1993; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 13, 1986; Series 24 (General Securities Principal Examination), which he obtained on January 6, 2003; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on November 26, 1996. He is currently not registered as a broker with any state or firm.
According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint; he also recently resigned from a former employer in connection to alleged rule violations.