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JO

James F. O'reilly

Some features on this profile are disabled
CRD#: 2209758
JO

Professional summary

James Francis O'reilly was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, James had worked at 13 firms, which includes LAKERIDGE CAPITAL INC., EASTGATE SECURITIES LLC, TOR BROKERAGE LLC, DAKOY CAPITAL MARKETS LLC, GATE US LLC, CALIBRAX CAPITAL PARTNERS LLC, ATM, HAMERSHLAG DODELES & CO. LLC, ANDREW ALEXANDER WISE & COMPANY INCORPORATED, SANFORD C. BERNSTEIN & CO. LLC, UBS CAPITAL MARKETS L.P., CROWN FINANCIAL GROUP INC., ROBERT TODD FINANCIAL CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Francis Oreilly

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 24, 2020 - April 2, 2021

LAKERIDGE CAPITAL INC.

BD
CRD#: 25005
ONTARIO,
Past

June 23, 2018 - May 7, 2021

EASTGATE SECURITIES, LLC

BD
CRD#: 146671
NEW YORK, NY
Past

January 24, 2017 - December 20, 2019

TOR BROKERAGE LLC

BD
CRD#: 135274
north bergen, NJ
Past

July 30, 2015 - January 10, 2019

DAKOY CAPITAL MARKETS LLC

BD
CRD#: 169954
new york, NY
Past

August 28, 2008 - July 2, 2015

GATE US LLC

BD
CRD#: 10863
NEW YORK, NY
Past

January 15, 2008 - September 16, 2008

CALIBRAX CAPITAL PARTNERS, LLC

BD
CRD#: 1409
COLD SPRING HARBOR, NY
Past

November 16, 2007 - March 17, 2008

ATM

BD
CRD#: 137211
NEW YORK, NY
Past

November 30, 2006 - August 17, 2007

HAMERSHLAG, DODELES & CO., LLC

BD
CRD#: 2117
NEW YORK, NY
Past

April 6, 2006 - June 12, 2007

ATM

BD
CRD#: 137211
NEW YORK, NY
Past

March 26, 2004 - August 9, 2004

ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED

BD
CRD#: 37710
NEW YORK, NY
Past

June 26, 2002 - February 20, 2004

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NASHVILLE, TN
Past

March 5, 1993 - June 13, 2002

UBS CAPITAL MARKETS L.P.

BD
CRD#: 2692
STAMFORD, CT
Past

April 21, 1992 - November 20, 1992

CROWN FINANCIAL GROUP, INC.

BD
CRD#: 540
JERSEY CITY, NJ
Past

February 28, 1992 - April 15, 1992

ROBERT TODD FINANCIAL CORP.

BD
CRD#: 7423
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/12/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/27/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/19/2016
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 11/24/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/27/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/2/2004
General Securities Principal Examination

Current Firm

LC
LAKERIDGE CAPITAL INC.
KINGSDALE CAPITAL MARKETS (USA) INC. | RIDGEWOOD CAPITAL FUNDING, INC. | LAWRENCE FIELD, INC. | LAWRENCE FIELD DISTRIBUTORS, INC. | LAKERIDGE CAPITAL INC.

CRD#: 25005 / SEC#: , 8-41532

BD
Cancelled by SEC on 06/09/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/10/1989
Firm type
Corporation
Fiscal year end
October
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
REGENT CAPITAL PARTNERS, INC.SHAREHOLDER
O'KEEFE, TRACIE ERINFINOP5924814
UNDERHILL, BRUCE JOSEPHCCO / CEO4471321

Disclosures

Regulatory Event4

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.

Company Information

LAKERIDGE CAPITAL INC.

CRD#: 25005

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