Thomas J. O'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.
Thomas Joseph O'reilly, who also goes by Thomas J O'reilly Jr, Thomas Joseph Oreilly Jr, Thomas Joseph Jr Oreilly, Thomas Oreilly, Tom Oreilly Jr, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2017 - October 4, 2019
THE HUNTINGTON INVESTMENT COMPANY
November 13, 2017 - October 4, 2019
THE HUNTINGTON INVESTMENT COMPANY
March 1, 2012 - November 27, 2017
PNC WEALTH MANAGEMENT LLC
February 29, 2012 - November 27, 2017
PNC WEALTH MANAGEMENT LLC
June 1, 2009 - January 10, 2012
MORGAN STANLEY
June 1, 2009 - January 10, 2012
MORGAN STANLEY
June 13, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 10, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 1, 2003 - June 13, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - June 13, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 6, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 11, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 16, 1996 - May 21, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 1993 - August 20, 1996
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986 / SEC#: 801-58015, 8-34867
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
Current Firm
THE HUNTINGTON INVESTMENT COMPANY
CRD#: 16986 / SEC#: 801-58015, 8-34867
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNTINGTON BANCSHARES INCORPORATED | PARENT COMPANY | |
| BALLARD, MONICA VICKMAN | SECRETARY | 4245227 |
| BOARDMAN, JEFFREY MICHAEL | CONFLICT OFFICER | 2746492 |
| BRUNNER, MICHAEL EVANS | ROSFP | 5353459 |
| BRUNNER, MICHAEL EVANS | MUNICIPAL PRINCIPAL | 5353459 |
| DUNCAN, ERICA | BOARD MEMBER | 8031535 |
| ERDELYI, MICHAEL DAVID | PRINCIPAL OPERATIONS OFFICER | 5864282 |
| FERGUSON, EMILY ELIZABETH | CHIEF TECHNOLOGY OFFICER | 3107040 |
| FORESTA, CYNTHIA JEAN | CHIEF COMPLIANCE OFFICER | 2445804 |
| HAMILTON, MELANIE KATE-MCFARLAND | PRINCIPAL FINANCIAL OFFICER | 5452291 |
| HOLDING, MELISSA | DIRECTOR OF WEALTH MANAGEMENT | 4621076 |
| HOLDING, MELISSA | BOARD MEMBER | 4621076 |
| LOUGH, SHAWN PATRICK | BOARD MEMBER | 6356321 |
| MIROBALLI, MICHAEL | CHIEF OPERATING OFFICER | 1545242 |
| MIROBALLI, MICHAEL | BOARD MEMBER | 1545242 |
| MIROBALLI, MICHAEL | PRESIDENT | 1545242 |
| POLIVKA, ALEX C | AML OFFICER | 6270624 |
| REBER, AARON | BOARD MEMBER | 7793642 |
| RICHARDSON, STEPHEN MONROE | FINOP | 6260539 |
| RICHARDSON, STEPHEN MONROE | CHIEF FINANCIAL OFFICER | 6260539 |
Regulatory assets under management
| Total Number of Accounts | 37,298 |
| AUM (Assets Under Management) | $ 6,344,121,382 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 6 |
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.
