James G. Reilly

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CRD#: 2258174

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.

James Gordon Reilly, who also goes by Jim Reilly, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1992. James had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24, Series 14 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Reilly

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

July 22, 2010 - April 20, 2016

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

February 9, 2006 - November 1, 2007

TEACHERS PERSONAL INVESTORS SERVICES, INC.

CRD#: 36130

NEW YORK, NY

Past

February 9, 2006 - January 14, 2008

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

NEW YORK, NY

Past

April 9, 2002 - December 13, 2005

EPOCH SECURITIES, INC.

CRD#: 103899

SOUTHBOROUGH, MA

Past

May 1, 2000 - February 3, 2006

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

September 8, 1999 - April 20, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 21, 1998 - September 27, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

July 20, 1992 - June 19, 1998

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

ATLANTA, GA

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: 8/10/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/28/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/20/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/3/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/16/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/14/2012

General Securities Principal Examination

Principal/Supervisory Exam

Series 14

Date: 3/1/2001

Compliance Officer Examination

Principal/Supervisory Exam

Series 8

Date: 9/4/1992

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

TD AMERITRADE, INC.

TD AMERITRADE, INC. | WATERHOUSE SECURITIES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC.

CRD#: 7870 / SEC#: 801-60469, 8-23395

Terminated by SEC on 09/17/2024

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Contact information

Main Address

200 South 108th Avenue, Omaha, NE 68154

Mailing Address

Phone number

(800) 669-3900

Established

New York since 09/29/1978

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

5,840

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
TD AMERITRADE ONLINE HOLDINGS LLC.	OWNER
KONOP, LYNN MARIE	CHIEF COMPLIANCE OFFICER - BD	1216310
KOSTULIAS, JAMES ROBERT	PRESIDENT	3091009
STARR, JEFFREY HAROLD	MANAGING DIRECTOR, OPERATIONS	4700461
THOMPSON, AARON MARK	CHIEF FINANCIAL OFFICER/FINOP	6483170

Disclosures

Regulatory Event	79
Civil Event	1
Arbitration	145

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.

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Advisor Monitoring

Firm Stability Insights

James G. Reilly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TEACHERS PERSONAL INVESTORS SERVICES, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

EPOCH SECURITIES, INC.

GOLDMAN SACHS & CO. LLC

UBS FINANCIAL SERVICES INC.

FIRST UNION CAPITAL MARKETS CORP.

THE ROBINSON-HUMPHREY COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/10/1993

Series 63

Date: 7/28/1992

SIE

Date: 4/20/2016

Series 3

Date: 2/3/1995

Series 7

Date: 7/16/1992

Series 24

Date: 5/14/2012

Series 14

Date: 3/1/2001

Series 8

Date: 9/4/1992

Current Firm

TD AMERITRADE, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TD AMERITRADE, INC.

TRUST BUT VERIFY

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