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Michael John Reilly

CRD# 1140327·Registered 1983 - 2019
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael John Reilly was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1983 - 2019. Michael had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

AGENCY TRADING GROUP, INC.·CRD# 108887
BD
Wayzata, MN
December 4, 2008 - April 26, 2019
UBS SECURITIES LLC·CRD# 7654
BD
Edina, MN
December 19, 1994 - March 30, 2007
SALOMON BROTHERS INC.·CRD# 740
BD
New York, NY
March 13, 1985 - January 13, 1995
MORGAN STANLEY DW INC.·CRD# 7556
BD
June 22, 1983 - February 15, 1985

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Current Firm

AT
AGENCY TRADING GROUP, INC.

AGENCY TRADING GROUP, INC. | RASMALA INVESTMENTS (U.S.A.) INC. | IHILAL (USA) INC.

CRD#: 108887 / SEC#: 8-53088
BD
Terminated by SEC on 11/10/2019

Contact Information

Established

Delaware since 07/05/2000

Firm Type

Corporation

Fiscal Year End

September

Documents

Direct owners and executive officers

NamePositionCRD#
AGENCY TRADING GROUP HOLDINGS, INC.DIRECT OWNER—
BRADFORD, SCOTT CURTISROSFP4213956
LENZMEIER, MICHAEL GERARDFINOP1500614
WHITAKER, JOHN WILLIAM JR.CEO, CCO, PRESIDENT AND SECRETARY4325772

Disclosures

Regulatory Event

8

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1983About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Jun 1986About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jun 1983About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 1995About the Series 24 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Jul 1995

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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