George T. Reilly
Professional summary
George T Reilly, who also goes by George Takeuchi Reilly, George Thomas Reilly, George Reilly, is a registered financial professional currently at NATWEST MARKETS SECURITIES INC. located in Stamford, Connecticut.
George is registered as a RR (Registered Representative) and started their career in finance in 1992. George has worked at 8 firms and has passed the Series 63, Series 99TO, Series 3, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view George T Reilly's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 3, 2023 - Present
NATWEST MARKETS SECURITIES INC.
Office #1: 600 Washington Boulevard, Stamford, CT 06901January 3, 2019 - July 29, 2022
WELLS FARGO SECURITIES, LLC
November 1, 2010 - October 16, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 13, 2007 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
July 16, 2004 - June 7, 2007
NOMURA SECURITIES INTERNATIONAL, INC.
August 4, 2003 - October 24, 2003
NOMURA SECURITIES INTERNATIONAL, INC.
May 3, 1999 - November 12, 1999
NOMURA SECURITIES INTERNATIONAL, INC.
September 12, 1997 - December 2, 1998
DEUTSCHE BANK SECURITIES INC.
January 16, 1996 - September 18, 1997
J.P. MORGAN SECURITIES LLC
September 14, 1992 - January 3, 1996
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
NATWEST MARKETS SECURITIES INC.
CRD#: 11707 / SEC#: , 8-37135
Contact information
FINRA licenses (49 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBS HOLDINGS USA INC. | SHAREHOLDER | |
| AUSBURN, MICHAEL THOMAS | DIRECTOR / CHIEF FINACIAL OFFICER | 2523037 |
| BROWER, LISA | SECRETARY, GENERAL COUNSEL | 6177644 |
| BUCCI, MICHELLE A | CHIEF OPERATING OFFICER | 5192971 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GIRARD, MICHELLE COLLEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 2185240 |
| ROOSE, SCOTT | DIRECTOR | 2539705 |
| SPEZZANO, CASEY RYAN | DIRECTOR | 4678231 |
Disclosures
| Regulatory Event | 43 |
| Civil Event | 4 |
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.
