Ross R. Reiley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ross Robinson Reiley was a registered financial professional .
Ross is a previously registered financial professional and started their career in finance in 1982. Ross had worked at 7 firms and has passed the Series 65, Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2001 - August 10, 2001
WINSLOW, EVANS & CROCKER, INC.
December 8, 2000 - January 12, 2001
WINSLOW, EVANS & CROCKER, INC.
November 6, 1998 - August 18, 1999
KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.
July 24, 1998 - September 23, 1998
NATIONAL SECURITIES CORPORATION
June 22, 1998 - July 24, 1998
THE BOSTON GROUP
December 11, 1995 - April 14, 1998
H.C.WAINWRIGHT & CO., LLC
November 3, 1986 - October 31, 1995
UBS FINANCIAL SERVICES INC.
January 27, 1982 - October 22, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 3/2/1982
Interest Rate Options ExaminationCurrent Firm
WINSLOW, EVANS & CROCKER, INC.
CRD#: 29686 / SEC#: 801-63905, 8-44347
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BERLINE, LEONID | CHIEF COMPLIANCE OFFICER | 3027633 |
Disclosures
| Regulatory Event | 4 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
