Oklahoma State University – Graduated 1968, B.S. in Accounting
Oklahoma City University – Graduated 1991, MBA
Investment Advisor Representative & CCO – JBR co – Financial Management Inc.
Jack Riley CPA, Inc. (Ardmore, OK)
Arthur Young & Co. (Oklahoma City)
Series 63 & 65 registered adviser
Financial Advisers are required to disclose all material facts regarding any legal or disciplinary events that may be material to your evaluation of their integrity with respect to providing you investment advice.
Your financial adviser does not have any legal or disciplinary event(s).
Additional information about your financial adviser can also be found on BrokerCheck at:
http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/. BrokerCheck is a free tool to help investors research the professional backgrounds of FINRA registered firms and financial advisers
Other Business Activities
Investment Advisers are required to recommend only those securities transactions that are suitable for a customer, based on the customer’s investment objectives and financial circumstances. FMI reviews all recommendations by its advisers to ensure that such recommendations are suitable. In addition, when acting as an investment advisor representative offering the investment advisory services described in FMI’s Brochures, your financial advisor is required to act in your best interests. FMI also monitors your financial adviser’s investment advisory activities for compliance with this obligation.
Separate from your financial adviser’s relationship with FMI, your financial adviser engages in other business activities that are not regulated or supervised by FMI. The following non-FMI activities involve at least 10% of your financial advisor’s time or represent at least 10% of your financial advisor’s income:
• Owner and operator of Jack Riley, CPA, INC.
• Partner in family Partnership Foundation Resources LLV.
Your financial advisor is compensated for such activity by the unaffiliated businesses offering such services or by the individuals seeking such services, and not necessarily by FMI.
Your financial advisor is supervised by Jack Riley, 580-226-4058.
FMI has established and maintains policies and procedures reasonably designed to detect and prevent violations of the Investment Advisers Act of 1940 and rules and regulations related to that Act. These include a Code of Ethics, described in FMI’s Brochure. FMI also utilizes an internal testing process in conjunction with regular audits to supervise its financial advisors, including your financial advisor. Pursuant to these policies, FMI reviews the recommendations of your financial advisor for suitability. FMI also monitors your financial advisor’s investment advisory activities and receipt of cash and non-cash compensation to disclose conflicts of interest or avoid them.
These policies and procedures are designed to prevent your financial advisor from acting in any way that is inconsistent with FMI’s legal obligations to you, including the requirement that your financial advisor place your interests first.
This Brochure Supplement provides information about your financial adviser that supplements the separate Brochure describing the investment advisory services offered by JBR Co. – Financial Management Inc. (“FMI”). You should have received a copy of that Brochure. Please call FMI at 580-226-4058 if you did not receive FMI’s Brochure or if you have any questions about the contents of this Supplement.
Additional information about your financial adviser is available on the SEC’s website at www.adviserinfo.sec.gov.
CRD #: 2832573