JR
John D. Reilly
STIFEL, NICOLAUS & COMPANY
Scottsdale, AZ 85254
Some features on this profile are disabled
CRD#: 1083812
JR
Professional summary
John David Reilly, who also goes by John Riley, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Scottsdale, Arizona.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. John has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Riley
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view John David Reilly's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John David Reilly's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 27, 2008 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 14850 North Scottsdale Road Suite 450, Scottsdale, AZ 85254Office #2: 70 West Madison Street Suite 2500, Chicago, IL 60602RIA
BD
CRD#: 793
Scottsdale, AZ
Current
October 27, 2008 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 14850 North Scottsdale Road Suite 450, Scottsdale, AZ 85254Office #2: 70 West Madison Street Suite 2500, Chicago, IL 60602RIA
BD
CRD#: 793
Scottsdale, AZ
Past
November 30, 2006 - October 28, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHICAGO, IL
Past
November 30, 2006 - October 28, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHICAGO, IL
Past
August 3, 1998 - December 7, 2006
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
CHICAGO, IL
Past
March 2, 1998 - December 7, 2006
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
CHICAGO, IL
Past
December 23, 1994 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
October 26, 1992 - January 4, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 4, 1990 - November 20, 1992
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
February 1, 1988 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
BD
CRD#: 7580
Past
November 20, 1985 - February 8, 1988
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/27/2008)
IAR
Arizona(10/4/2016)
RR
California(10/27/2008)
RR
Colorado(10/27/2008)
RR
Connecticut(12/16/2020)
RR
Florida(10/27/2008)
RR
Georgia(4/17/2015)
RR
Illinois(10/27/2008)
IAR
Illinois(10/27/2008)
RR
Indiana(2/27/2017)
RR
Iowa(6/16/2020)
RR
Maryland(12/7/2020)
RR
Michigan(10/27/2008)
IAR
Michigan(7/31/2017)
RR
Minnesota(11/11/2020)
RR
Missouri(6/9/2016)
RR
Nevada(1/12/2016)
RR
New York(9/24/2010)
RR
North Carolina(8/4/2022)
RR
Oregon(9/23/2014)
RR
Pennsylvania(7/22/2014)
RR
Tennessee(8/4/2009)
IAR
Texas(6/5/2020)
RR
Virginia(3/18/2013)
RR
Washington(8/23/2022)
RR
Wisconsin(10/27/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
