Bertram J Riley, Chairman and CEO

Bertram began his career in the securities industry in January 1964, in the Regulation Department of the New York Stock Exchange. He subsequently served as an Executive Officer and Director of Regulation at a mid-sized NYSE Member Firm until he joined the American Stock Exchange where he was responsible for the Exchange's regulatory effort. Bertram then held a Senior Executive position with a large-sized regional NYSE Member Firm until March 1997 when his wife, Christa, formed Petersen Investments, Inc.

Bertram has served as Chairman of the Options Regulatory Council and as Chairman of the Intermarket Surveillance Group, organizations that are comprised of senior officers from all of the United States and International Stock Exchanges as well as government regulators. He also served on the Executive Committee of the Securities Industry Association and on the Business Conduct committee of the Chicago Board Options Exchange. In addition, he was a member of the NASD's District 10 Committee (New York) and the NASD Small Firm Advisory Board (Washington DC).

Bertram J Riley Jr., President

Bert manages the firm's financial professionals and oversees brokerage services, fixed income, equity and mutual fund trading. He began his career with an unprecedented training program at a large New York Stock Exchange Member Firm which provided him with a thorough working knowledge of the securities industry. Bert holds a B.S. in finance from Marist College, New York.