Thomas Francis Riley

Current Employers

Legacy Advisors, Llc

5 Apollo Road, Suite 100, Plymouth Meeting, PA 19462 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-08-02
PA	RA	APPROVED	2013-04-25

TX RA
APPROVED_RES

Since 2019-08-02
PA RA
APPROVED

Since 2013-04-25

Branch Locations

5 Apollo Road, Suite 100, Plymouth Meeting, PA 19462 • 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

Organization	City	State	From	To
M Holdings Securities, Inc.	Portland	OK	04/2013	Present
Legacy Advisors, Llc	Plymouth Meeting	PA	04/2013	Present

04/2013 → Present

M Holdings Securities, Inc.

Portland, OK
04/2013 → Present

Legacy Advisors, Llc

Plymouth Meeting, PA

Previous Registrations

2008-03-07 → 2013-04-02

Kistler-Tiffany Advisors

Berwyn, PA

Other Businesses

1) Legacy Advisors; 5 Apollo Road, Plymouth Meeting PA 19462; M Financial Member Firm Affiliation; Investment Related; Estate planning recommendations; Provide investment and/or financial planning advice/services to clients; 4/12/2013; 160 Hours per month; 160 hours per month during trading hours. 2) Thomas F. Riley; 987 Centennial Drive, West Chester, PA 19382; 04/30/2020; Agent; Renewal life insurance commissions from time when I was self-employed; Investment Related; 0 hours/month; 0 hours/month during business hours; Commissions.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-03-06
S63	Uniform Securities Agent State Law Examination	1999-10-09

S65 Uniform Investment Adviser Law Examination

2008-03-06
S63 Uniform Securities Agent State Law Examination

1999-10-09

View on SEC IAPD