DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
J••••• E••••• R•••
Senior Vice President/Investmentsat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Berlin, Md IAPD 2774240
Chartered Financial Consultant
As of · the IAPD feed; also filed as J•• R•••
- At current firm
- 19 y
- In the industry
- 29 y
- Prior registered firms
- 3
- Signals
- 0
since Jun 5, 2007
As of · the IAPD feed; also filed as J•• R•••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Senior Vice President/InvestmentsreportedWWW.RIESFINANCIALGROUP.COMfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jun 5, 2007 · Bel Air, Md
- R••• B••• • C•• unclassifiedAug 14, 2006 to Jun 5, 2007 · Bel Air, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Aug 16, 2006 · Bel Air, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedApr 4, 2005 to Feb 21, 2006 · Bel Air, Md
Moves
a registration end followed by a registration begin elsewhere
- R••• B••• • C•• to S•••••• N••••••• • C••••••• I•••••••••left Jun 5, 2007, registered Jun 5, 2007 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to R••• B••• • C••left Aug 16, 2006, registered Aug 14, 2006 (-2 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address