wiseradvisor

Michael Black
E.K. Riley Investments, LLC

Tel: (704) 584-9363
11118 Travis Gulch Dr
Charlotte, NC 28277
E.K. Riley Investments, LLC | Financial Advisor in Charlotte ,NC

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
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
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


Qualifications & Memberships

Insurance and Annuity Licenses:   Health, Annuity, Disability, Life, Variable Life, Long Term Care, Variable Annuity
Financial Organization Memberships:   Paladin Registry


Compliance

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


Compensation and Fees

Fee Structure:   Fee-Based
Minimum Portfolio Size for New Managed Accounts:   $50,000
Compensation Methods:   Flat Fee, Hourly, 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



Faqs

  • What are your qualifications? What is your education background? I have 23 years of industry experience. I currently hold a Series 7, 9, 10, 24, 63, 66, and Life and Health Insurance. I'm able to offer individual Stocks, Bonds, and Mutual Funds as well as Managed accounts, Life and Disability Insurance, LTC, and Annuities. I also offer free Financial Reviews for clients.
  • What is your approach to financial planning? Clients get free ongoing financial reviews. We will be able to determine if you are saving enough or need to save more as well as determine if we are taking an adequate approach to risk based off of hypothetical situations.
  • What services do you offer? Retirement Planning, Wealth Management, Risk Management, College Planning (529's & Coverdell's), Financial Reviews, Insurance Reviews, 401(k), 403(b), TSP, etc rollovers, and ongoing advice and assistance with actively managed accounts.
  • How many clients do you currently manage? I'm always looking to take on new clients if I feel we will be a good match however, I will always make sure that my work load wont be too much to where I can not assist each client as if they were my only client.
  • Will you be the only person working with me? Yes, you will work directly with me. You will not be pushed off to a junior broker or sales assistant.
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Michael Black

Michael Black

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 - 529s, stocks, bonds, & mutual Funds, Traditional, Roth, & Sep IRAs, 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.

Office Hours

wiseradvisor-balck-li-img Sun. 8:00 AM - 12:00 PM
wiseradvisor-balck-li-img Mon. 8:00 AM - 8:00 PM
wiseradvisor-balck-li-img Tue. 8:00 AM - 8:00 PM
wiseradvisor-balck-li-img Wed. 8:00 AM - 8:00 PM
wiseradvisor-balck-li-img Thu. 8:00 AM - 8:00 PM
wiseradvisor-balck-li-img Fri. 8:00 AM - 8:00 PM
wiseradvisor-balck-li-img Sat. 8:00 AM - 12:00 PM

Communities Served

Belmont Catawba
Charlotte Clover
Cramerton Edgemoor
Fort Lawn Fort Mill
Gastonia Harrisburg
Huntersville Indian Trail
Lancaster Lando
Lowell Marshville
Matthews Mc Adenville
Midland Monroe
Mount Holly Pineville
Rock Hill Stanfield
Waxhaw Wingate
York