Robert J. 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.
Robert James Reilly was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 13 firms and has passed the Series 65, Series 66, Series 63, Series 7TO, SIE, Series 55, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2023 - December 9, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 25, 2023 - December 9, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 5, 2020 - April 1, 2021
PRW WEALTH MANAGEMENT LLC
March 10, 2020 - March 31, 2021
LION STREET FINANCIAL, LLC
January 12, 2015 - November 6, 2019
SANDY COVE ADVISORS, LLC
May 7, 2009 - November 12, 2012
UBS SECURITIES LLC
January 21, 2009 - April 20, 2009
BARCLAYS CAPITAL INC.
September 22, 2008 - April 20, 2009
BARCLAYS CAPITAL INC.
April 1, 2008 - October 15, 2008
LEHMAN BROTHERS INC.
August 7, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
May 3, 2005 - July 18, 2006
PIPER SANDLER & CO.
October 2, 1998 - April 29, 2005
PRUDENTIAL EQUITY GROUP, LLC
March 30, 1994 - June 10, 1998
NATIONAL FINANCIAL SERVICES LLC
July 31, 1993 - February 18, 1994
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
November 21, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
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 7TO
Date: 3/10/2020
General Securities Representative ExaminationSeries 55
Date: 8/10/2009
Limited Representative-Equity Trader ExamSeries 8
Date: 2/19/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
