Unclaimed Profile

William Eugene Riley

RILEY PRIVATE CLIENT LLC·SOUTHLAKE, Texas

SIE, Series 3, Series 6, Series 7, Series 8, Series 24, Series 63ChFC24 years registeredRILEY PRIVATE CLIENT LLC

700 N CARROLL AVE, SOUTHLAKE, TX 76092CRD# 1493287Firm CRD# 310313

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

William Eugene Riley · SOUTHLAKE, TX

Registration

CRD #1493287 · RILEY PRIVATE CLIENT LLC · 24 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: RILEY PRIVATE CLIENT LLC

RILEY PRIVATE CLIENT LLC

Nov 2020 – Jun 2023

SOUTHLAKE, TX

CONCERT WEALTH MANAGEMENT

Apr 2016 – Dec 2016

Fort Worth, TX

RILEY WEALTH ADVISORS, LLC

Jan 2008 – Jul 2021

SOUTHLAKE, TX

RAYMOND JAMES & ASSOCIATES, INC.

Mar 2002 – Jan 2008

FORT WORTH, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 6

Series 7

Series 8

Series 24

Series 63

Registration record

First registered · March 15, 2002

Years registered · 24

Professional designation · ChFC

Disclosure History

2020Customer Dispute·Settled

2018Customer Dispute·Settled

2018Employment Separation After Allegations

2012Customer Dispute·Closed-No Action

2003Customer Dispute·Settled

2002Customer Dispute·Settled

1999Customer Dispute·Settled

7 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

RILEY PRIVATE CLIENT LLC

CRD 310313 · SEC 801-121467

AUM

$65M

Regulatory assets under management

Employees

363 client accounts

Services offered by RILEY PRIVATE CLIENT LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at RILEY PRIVATE CLIENT LLC →

Introduction

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Frequently Asked Questions

What services does William Eugene Riley offer?

William Eugene Riley specializes in Financial Planning, Investment Management.

What are William Eugene Riley's credentials?

William Eugene Riley holds the following professional designations: ChFC. These credentials require rigorous education, examination, and ongoing continuing education.

Where is William Eugene Riley located?

William Eugene Riley is based in SOUTHLAKE, Texas, last registered with RILEY PRIVATE CLIENT LLC.

How does William Eugene Riley charge for services?

William Eugene Riley's firm is compensated through percentage of aum, subscription fees, other: referral fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is RILEY PRIVATE CLIENT LLC?

RILEY PRIVATE CLIENT LLC has approximately 4 employees and manages $65M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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