Brian E. Reilly
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.
Brian Edward Reilly, CFP® was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1984. Brian had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2022
Experience
January 5, 2022 - June 6, 2023
EQUITY SERVICES, INC.
November 29, 2021 - June 6, 2023
EQUITY SERVICES, INC.
February 27, 2020 - October 1, 2021
MML INVESTORS SERVICES, LLC
January 23, 2020 - October 1, 2021
MML INVESTORS SERVICES, LLC
April 15, 2019 - December 18, 2019
PRUCO SECURITIES, LLC.
February 28, 2019 - December 18, 2019
PRUCO SECURITIES, LLC.
January 22, 2016 - July 18, 2017
MORGAN STANLEY
December 23, 2015 - July 18, 2017
MORGAN STANLEY
October 30, 2015 - November 16, 2015
CETERA INVESTMENT ADVISERS LLC
October 6, 2015 - November 16, 2015
CETERA INVESTMENT SERVICES LLC
January 5, 2012 - April 10, 2012
TULLETT PREBON FINANCIAL SERVICES LLC
September 7, 2007 - December 5, 2011
MF GLOBAL INC.
August 27, 1990 - June 20, 2007
BNP PARIBAS SECURITIES CORP.
October 31, 1989 - August 7, 1990
LIT AMERICA, INC.
January 25, 1984 - October 12, 1989
THOMSON MCKINNON SECURITIES INC.
Primary Firm SEC Registration
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
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
Current Firm
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NLV FINANCIAL CORPORATION | SHAREHOLDER | |
| ASSADI, MEHRAN | DIRECTOR & CHAIRMAN OF THE BOARD | 5270638 |
| AZARSHAHI, ATAOLLAH | PRESIDENT & CEO | 7270581 |
| COTTON, ROBERT EARL | DIRECTOR | 3085405 |
| DUNNE, REBECCA NASSAR | DIRECTOR | 3236752 |
| FRANKLIN, ROBERT | SVP, COMPLIANCE & CCO | 3213051 |
| FRAZEE, MATTHEW | DIRECTOR | 5979281 |
| KEENAN, JOHN FRANCIS | SVP, BUSINESS DEVELOPMENT | 2222699 |
| KUCINSKAS, ERIC KEITH | VP, FINOP & TREASURER | 6072823 |
| MCKENNY, IAN ANDREW | VP, CHIEF COUNSEL & SECRETARY | 5352951 |
| PALMER, REBECCA | CHIEF INFORMATION SECURITY OFFICER | 7320153 |
| TEESE, GREGORY DWIGHT | SVP, OPERATIONS, COO | 2135269 |
Regulatory assets under management
| Total Number of Accounts | 12,116 |
| AUM (Assets Under Management) | $ 2,451,252,093 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
| 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.
