John W. 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.
John Wigmore Reilly III, who also goes by Jack Reilly III, Jack Reilly, John W Reilly III, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, 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
Experience
August 28, 2000 - July 28, 2022
SECURITIES RESEARCH, INC. OF FLORIDA
April 1, 1996 - September 16, 1999
SECURITIES RESEARCH, INC. OF FLORIDA
June 21, 1993 - December 16, 1995
LABRANCHE FINANCIAL SERVICES, LLC
January 6, 1993 - March 15, 1993
DONALD & CO. SECURITIES INC.
August 18, 1992 - December 16, 1992
A.S. GOLDMEN & CO., INC.
July 27, 1992 - December 16, 1992
A.S. GOLDMEN & CO., INC.
May 28, 1992 - July 24, 1992
A.S. GOLDMEN & CO., 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SECURITIES RESEARCH, INC. OF FLORIDA
CRD#: 6516 / SEC#: , 8-23699
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 14,823,000 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
