James Norman Riley
Investment adviser representative at Esi Financial Advisors
8 yearsExperience
1 stateRegistered in
$2.8BFirm assets
34 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
8 years in the industry.
- Equity Services, Inc.Oct 2023 to now
- National LifeOct 2023 to now
- UnemployedAug 2023 to Oct 2023
- Paulson Investment Company, LLCMay 2023 to Jul 2023
- Equitable Advisors LLCJul 2022 to May 2023
- UnemployedMar 2022 to Jul 2022
- Pruco Securities LLCApr 2021 to Mar 2022
- The Prudential Insurance Company of AmericaApr 2021 to Mar 2022
- American United LifeJan 2018 to Apr 2021
- Oneamerica SecuritiesJan 2018 to Apr 2021
- Equity Services, Inc.Mar 2015 to Jan 2018
- Primary FinancialMar 2015 to Jan 2018
Exams passed
- Series 66 · Uniform Combined State Law2000
- Series 65 · Uniform Investment Adviser Law2022
State registrations
Registered as an investment adviser representative in 1 state (NY).
Esi Financial Advisors
Legal name: Equity Services, Inc.
$2.8BAssets managed
12,379Clients
504Advisers
34 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 1857635
- Firm CRD
- 265