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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

JAMES NORMAN RILEY

Advisor at ESI FINANCIAL ADVISORS

HAUPPAUGE, NY | HUNTINGTON, NY

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Search this name across graphsid dfx:ria:2dabf82d-59d4-941f-2ed5-34d11328b1ec

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 2
On other graphs: 0
Observed: May 15, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ESI FINANCIAL ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 4, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 13
Current registrations: 1
Registered states: 1
Exams: S65|S66
First exam: Aug 4, 2000
First registration: May 15, 2002
Dual registered: yes, broker-dealer
Other names: James Norman Riley|JIM N RILEY|JAMES NORMAN RILEY|James Nirman Riley|James N Riley
IAPD individual key: 1857635

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ESI FINANCIAL ADVISORS	Independent wealth	Nov 18, 2025	n/a	yes	HAUPPAUGE, NY\|HUNTINGTON, NY	Current employment
EQUITABLE ADVISORS, LLC	National bd RIA	Jul 28, 2022	May 24, 2023	no	NEW YORK, NY\|Boonton, NJ\|NEW YORK, NY\|SADDLE BROOK, NJ	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Apr 27, 2021	Mar 10, 2022	no	Basking Ridge, NJ	Previous registration
ONEAMERICA SECURITIES, INC.	Bd affiliated wealth	Feb 1, 2018	May 14, 2021	no	Parsippany, NJ\|INDIANAPOLIS, IN	Previous registration
ESI FINANCIAL ADVISORS	Independent wealth	Apr 2, 2015	Jan 30, 2018	no	ROSELAND, NJ\|NEW YORK, NY	Previous registration
LANTERN WEALTH ADVISORS, LLC	Independent wealth	Feb 18, 2015	Apr 1, 2015	no	HOBOKEN, NJ\|MELVILLE, NY	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Mar 5, 2013	Mar 4, 2015	no	FLORHAM PARK, NJ	Previous registration
SEELAUS ASSET MANAGEMENT, LLC	Other adviser	Jan 30, 2013	Mar 12, 2013	no	CHATHAM, NJ	Previous registration
R. SEELAUS & CO., INC.	Former SEC adviser	Aug 31, 2009	Mar 12, 2013	no	CHATHAM, NJ\|SUMMIT, NJ	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jan 16, 2008	Jun 23, 2009	no	SHORT HILLS, NJ	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jan 16, 2008	Jun 23, 2009	no	SHORT HILLS, NJ	Previous registration
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Nov 8, 2006	Jan 15, 2008	no	ISLANDIA, NY	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Aug 23, 2005	Nov 7, 2006	no	SHORT HILLS, NJ\|SHORT HILLS, NJ	Previous registration
MORGAN STANLEY DW INC.	n/a	May 15, 2002	Feb 12, 2003	no	FAIRFIELD, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EQUITABLE ADVISORS, LLC	ESI FINANCIAL ADVISORS	May 24, 2023	Nov 18, 2025	909	Firm change after gap	Ibd to RIA
PRUCO SECURITIES, LLC	EQUITABLE ADVISORS, LLC	Mar 10, 2022	Jul 28, 2022	140	Firm change	Ibd to ibd
ONEAMERICA SECURITIES, INC.	PRUCO SECURITIES, LLC	May 14, 2021	Apr 27, 2021	-17	Firm change	Ibd to ibd
ESI FINANCIAL ADVISORS	ONEAMERICA SECURITIES, INC.	Jan 30, 2018	Feb 1, 2018	2	Firm change	Other
LANTERN WEALTH ADVISORS, LLC	ESI FINANCIAL ADVISORS	Apr 1, 2015	Apr 2, 2015	1	Firm change	Other
OPPENHEIMER & CO. INC.	LANTERN WEALTH ADVISORS, LLC	Mar 4, 2015	Feb 18, 2015	-14	Firm change	Other
R. SEELAUS & CO., INC.	SEELAUS ASSET MANAGEMENT, LLC	Mar 12, 2013	Jan 30, 2013	-41	Firm change after gap	Other
SEELAUS ASSET MANAGEMENT, LLC	OPPENHEIMER & CO. INC.	Mar 12, 2013	Mar 5, 2013	-7	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jun 23, 2009	Jan 16, 2008	-524	Channel change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jun 23, 2009	Jan 16, 2008	-524	Firm change after gap	Other
WESTERN INTERNATIONAL SECURITIES	TD AMERITRADE, INC.	Jan 15, 2008	Jan 16, 2008	1	Firm change	Other
A. G. EDWARDS & SONS, INC.	WESTERN INTERNATIONAL SECURITIES	Nov 7, 2006	Nov 8, 2006	1	Firm change	Other
MORGAN STANLEY DW INC.	A. G. EDWARDS & SONS, INC.	Feb 12, 2003	Aug 23, 2005	923	Firm change after gap	Other

Relationships

Registered with (13)

→ ESI FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Apr 2, 2015 to Jan 30, 2018factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 28, 2022 to May 24, 2023factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Apr 27, 2021 to Mar 10, 2022factForm ADV
→ ONEAMERICA SECURITIES, INC.Registered adviserregistration: previous registration
Feb 1, 2018 to May 14, 2021factForm ADV
→ LANTERN WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 18, 2015 to Apr 1, 2015factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Mar 5, 2013 to Mar 4, 2015factForm ADV
→ SEELAUS ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 30, 2013 to Mar 12, 2013factForm ADV
→ R. SEELAUS & CO., INC.Registered adviserregistration: previous registration
Aug 31, 2009 to Mar 12, 2013factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 16, 2008 to Jun 23, 2009factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jan 16, 2008 to Jun 23, 2009factForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Nov 8, 2006 to Jan 15, 2008factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Aug 23, 2005 to Nov 7, 2006factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
May 15, 2002 to Feb 12, 2003factForm ADV

Dated events

Occurred
May 24, 2023
Advisor changed firm
James Norman Riley left Equitable Advisors, Llc for Esi Financial Advisors (registered 2025-11-18)
Form ADVobserved 3 days ago
Occurred
Mar 10, 2022
Advisor changed firm
James Norman Riley left Pruco Securities, Llc for Equitable Advisors, Llc (registered 2022-07-28)
Form ADVobserved 3 days ago