The most meaningful measurement of success for a financial services company is how well it meets the needs of its customers. That unwavering belief is the foundation of E.K. Riley, and the basis for our continued growth and success. Our advisors have access to an array of the highest quality products, cutting-edge technology, and the vital independence they need to deliver outstanding service to individual investors and small business owners. Everything we do reflects our commitment to provide the highest standards of personalized, professional service. Independence is not merely a concept for us: its core to our business philosophy. The spirit of independence is reflected in the steadfast support we provide to ensure every customer is treated with honesty, respect and professionalism. Independence means no proprietary products to promote, so you can receive truly unbiased recommendations. Our advisors are free to choose the best solutions from the universe of financial services and products to meet individual client requirements. We are determined to remain focused on what has made us a vibrant and successful company:

• Independent financial advice
• Access to the industry’s best investment products
• Pioneering technology
• World-class service

Supporting this pledge are some of the financial community’s brightest advisors, who share our resolve to put you first.