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Paladin Registry Member

This advisor or firm is a vetted, documented member of the Paladin Registry.

Advisors and firms must meet Paladin’s rigorous admittance requirements to qualify for membership in the Registry.

Paladin provides free information services to investors who rely on planners and investment advisors to help them achieve their financial goals. Paladin is the only SEC registered firm that vets, validates, and documents the quality of financial professionals and firms (since 2003).

Paladin Research Report For:

Michael Black

E.K. Riley Investments, LLC

Michael Black, a financial fiduciary has been a Paladin Registry member since 2019. certifications and has over 22 years of experience. Michael provides financial services to clients in the Charlotte, North Carolina area.

I. Snapshot

A. Registry Member
  • Since 2019
B. Years of Experience
  • 22
C. College Degrees
  • None
D. Certifications
  • None
E. Financial Fiduciary
  • Yes
F. Business Philosophy
  • Read Business Philosophy

    The E.K. Riley philosophy is rooted in our driving conviction that doing a great job for our clients is integral to our success as people and to our success as a firm. Our focus and emphasis is on the client's investment needs. We recognize that solid, strategic planning and execution, all with a demanding attention to detail, are essential both to serving clients and to creating a successful investment firm. These are turbulent times with constancy seemingly challenged everywhere. The bedrock of E.K. Riley is a belief that investors now, more than ever, seek and indeed require the highest quality investment advice and services. We at E.K. Riley are determined to build and keep our enterprise by answering that call. At E.K. Riley, our philosophy of 'old values, new approach' combines the best of the old with the best of the new - hard work, trust, solid research, and personal attention combined with a smart use of technology, expert advice, and a clear focus on our

G. Asset Requirement
  • None

II. Contact Information

A. Key Contact
  • Michael Black
B. Main Location
  • 11118 Travis Gulch Dr
    Charlotte, North Carolina, 28277
C. Telephone
  • 704.584.9363
D. Comments
  • Mike Black, native of Massachusetts, has lived in the Charlotte area for over 20 years. He has been in the financial industry for more than 22 years. He started his career in 1997 as a stockbroker in New York, and then moved to Charlotte in 1999 with DLJdirect to open an online trading office. After four years as a trading manager, Mike joined First Union in 2002, which became Wachovia and now Wells Fargo. He now works as an independent advisor with E.K. Riley, based out of Seattle WA. Services include but are not limited to wealth accumulation, retirement planning, risk management, college planning - 529’s, stocks, bonds, & mutual Funds, Traditional, Roth, & Sep IRA’s, 401(k) & 403(b) rollovers, and life, & disability insurance. His focus is to help his clients build and maintain an investment portfolio based on their specific needs and risk tolerance while keeping regular communication and building a long-term relationship. He has always enjoyed helping others succeed and loves treating each client as if they were his only client. He holds Series 7, 9, 10, 24, 63, 66, Life, Health, and Annuity licenses. Mike enjoys sports, coffee, his dog, and riding his motorcycles in his spare time.

III. Internet

B. Social Connections

IV. Firm(s)

A. Name of Firm
  • E.K. Riley Investments, LLC
B. Relationship to Firm
  • Independent Contractor
C. Name of RIA
  • Did Not Answer
D. Name of Broker/Dealer
  • Wells Fargo Clearing
E. Name(s) of Custodian(s)
  • Wells Fargo Clearing

V. Credentials

A. Years of Financial Experience
  • 22 Years
B. College, Degrees, Years
  • None
C. Current Certifications
  • None
D. Association Memberships
  • None

VI. Registration, Licensing,
Compliance

A. RIA/IAR Registration
  • IAR
B. Type of RIA Registration
  • None
C. Industry Licenses
  • Securities License(s)
  • Insurance License(s)
  • Other
D. Registration & License Numbers
  • CRD: 2891368
  • IARD: None
  • Insurance: 5694467
E. State Licences
  • Financial Advice, Services for Fees: See List
    • Alabama
    • Arizona
    • Arkansas
    • California
    • Florida
    • Georgia
    • Illinois
    • Iowa
    • Louisiana
    • Maine
    • Maryland
    • Minnesota
    • Missouri
    • Nevada
    • New York
    • North Carolina
    • Ohio
    • Oregon
    • Pennsylvania
    • South Carolina
    • South Dakota
    • Tennessee
    • Texas
    • Utah
    • Virginia
    • Wisconsin
  • Investment Products for Commission: See List
    • Alabama
    • Arizona
    • Arkansas
    • California
    • Florida
    • Georgia
    • Illinois
    • Iowa
    • Louisiana
    • Maine
    • Maryland
    • Minnesota
    • Missouri
    • Nevada
    • New York
    • North Carolina
    • Ohio
    • Oregon
    • Pennsylvania
    • South Carolina
    • South Dakota
    • Tennessee
    • Texas
    • Utah
    • Virginia
    • Wisconsin
  • Insurance Products for Commission: North Carolina
F. Compliance Record (Investment)
  • No Disclosures
G. Compliance Record (Insurance)
  • No Disclosures
H. Criminal Disclosure(s)
  • None
I. Additional Disclosure(s)
  • None
J. View our ADV(s)
  • Available Upon Request
K. Links

VII. Business Data & Practices

A. Business Philosophy
  • Read Business Philosophy

    The E.K. Riley philosophy is rooted in our driving conviction that doing a great job for our clients is integral to our success as people and to our success as a firm. Our focus and emphasis is on the client's investment needs. We recognize that solid, strategic planning and execution, all with a demanding attention to detail, are essential both to serving clients and to creating a successful investment firm. These are turbulent times with constancy seemingly challenged everywhere. The bedrock of E.K. Riley is a belief that investors now, more than ever, seek and indeed require the highest quality investment advice and services. We at E.K. Riley are determined to build and keep our enterprise by answering that call. At E.K. Riley, our philosophy of 'old values, new approach' combines the best of the old with the best of the new - hard work, trust, solid research, and personal attention combined with a smart use of technology, expert advice, and a clear focus on our

B. Minimum Asset Requirement
  • None
C. Number of Current Clients
  • Available Upon Request
D. Assets (Management, Advisement)
  • Available Upon Request
E. Methods of Compensation
  • Hourly Fee
  • Fixed Fee
  • Asset-Based Fee
  • Commissions (Investment Products)
  • Commissions (Insurance Products)
F. Methods of Communication
  • Face-to-Face Meetings
  • Telephone
  • Email
  • Other:
G. Types of Reports (Frequency)
  • Performance (Quarterly)
  • Brokerage Statement (Monthly)
H. Second Language(s)
  • None
I. Value Statement
  • View Value Statement
    I treat each and every client as if they are my only client. I have regular account reviews based on your preferences and I'm available via email, phone, or text most hours of the day.

VIII. Clients & Services

A. Types of Clients
  • Individuals & Couples (Working)
  • Individuals & Couples (Retired)
B. Types of Financial Services
  • Planning Advice & Services
  • Investment Advice & Services
  • Insurance Products
  • Investment Products (Commission)
C. Discretionary Asset Management
  • Yes
D. Limited Engagement Services
  • Financial Plan Reviews
  • Investment Portfolio Reviews

IX. Certification

Advisor Name
  • Michael Black
Most Recent Update:
  • Sep 13, 2019

BASIC INFORMATION NEEDED FOR THE INQUIRY

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