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Ian James Riley

Morgan Stanley

Rolling Hills Estates, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-10-24
CA RA APPROVED 2022-09-02
  • TX RA
    APPROVED_RES
    Since 2022-10-24
  • CA RA
    APPROVED
    Since 2022-09-02

Branch Locations

609 Deep Valley Drive Suite 400, Rolling Hills Estates, CA 90274 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Private Bank, N.A. New York NY 01/2015 02/2017
Wells Fargo Clearing Services, Llc El Segundo CA 02/2017 09/2022
Morgan Stanley Smith Barney Llc Rolling Hills Estates CA 09/2022 Present
Morgan Stanley Private Bank, N.A. New York NY 09/2022 Present
  • 01/2015 → 02/2017
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 02/2017 → 09/2022
    Wells Fargo Clearing Services, Llc
    El Segundo, CA
  • 09/2022 → Present
    Morgan Stanley Smith Barney Llc
    Rolling Hills Estates, CA
  • 09/2022 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-03-14
S63 Uniform Securities Agent State Law Examination 2000-11-30
  • S65 Uniform Investment Adviser Law Examination
    2003-03-14
  • S63 Uniform Securities Agent State Law Examination
    2000-11-30
Other Names
  • Ian James Riley

View on SEC IAPD

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Other Offices

KEYMARK FINANCIAL · ROLLING HILLS ESTATES, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROLLING HILLS ESTATES, CA
WELLS FARGO CLEARING SERVICES, LLC · ROLLING HILLS ESTATES, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROLLING HILLS ESTATES, CA
LPL FINANCIAL LLC · RANCHO PALOS VERDES, CA
RAYMOND JAMES & ASSOCIATES, INC. · ROLLING HILLS ESTATES, CA
RBC CAPITAL MARKETS, LLC · Rolling Hills, CA
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