National Retirement Planning Experts

National Coverage
Local Professionals

Michael Black

E.K. Riley Investments, LLC

11118 Travis Gulch Dr

Charlotte, NC 28277
(704) 5849363

About E.K. Riley Investments, LLC

Services include but are not limited to wealth accumulation, retirement planning, risk management, college planning - 529s, stocks, bonds, & mutual Funds, Traditional, Roth, & Sep IRAs, 401(k) & 403(b) rollovers, and life, & disability insurance.

General Information

Firm Start Year

1997

CRD#

2891368

Firm CRD#

121003

Insurance License#

5694467

Name of Broker/Dealer

E.K. Riley Investments, LLC

Name of Custodial Firm

Wells Fargo Clearing

States Licensed in

AL, AZ, AR, CA, FL, GA, IL, IA, KS, LA, ME, MD, MN, MO, NV, NY, NC, OH, OR, PA, SC, SD, TN, , TX, UT, VA, WI

Years of Experience in Financial Services

23

Number of Years with Current Firm

4

I work with the following types of clients

Individual Investors, Businesses

Services

Investment Types

Managed Accounts, Mutual Funds, Bonds, Stocks, Annuities, Insurance, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI)

I can meet clients in the following ways

Via email, At your home, At my office, Via phone, At your office

Compliance

Registered Investment Advisor

No

Registered Representative

Yes

Investment Advisor Representative

Yes

I am an acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Securities Licenses

Series 9, Series 7, Series 66, Series 63, Series 24, Series 10

Insurance and Annuity Licenses

Health, Annuity, Disability, Life, Variable Life, Long Term Care, Variable Annuity

Financial Organization Memberships

Paladin Registry

Compensation and Fees

Fee Structure

I am a fee-based financial professional

Minimum Portfolio Size for New Managed Accounts

$50,000

Compensation Methods

Based on Assets

Additional Details on Charges

Fee-based account charges are based off of total assets. Individual Mutual Funds are based off of share classes. Financial/College/Retirement planning is provided free for clients.

Minimum Fee Charged for Managed Accounts

$200

Minimum Fee Charged for Hourly Planning Accounts

$150