Michael J. Reis
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.
Michael J Reis, who also goes by Mike Reis, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 55, Series 7, Series 62 and Series 72 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2022 - July 29, 2024
LIDO
December 4, 2020 - June 10, 2024
OAKHURST ADVISORS
August 4, 2015 - December 3, 2019
CHARLES SCHWAB & CO., INC.
August 4, 2015 - December 3, 2019
CHARLES SCHWAB & CO., INC.
December 22, 2014 - November 10, 2017
OPTIONSXPRESS, INC.
February 5, 2014 - August 21, 2014
GREAT POINT CAPITAL LLC
June 6, 2012 - January 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 23, 2012 - January 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 2, 2010 - December 21, 2010
GELBER SECURITIES, LLC
December 18, 2002 - May 10, 2006
GELBER SECURITIES, LLC
July 19, 1995 - October 4, 1995
BANCAMERICA SECURITIES, INC.
Primary Firm SEC Registration
LIDO
CRD#: 269866 / SEC#: 801-100433
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 55
Date: 3/19/2014
Limited Representative-Equity Trader ExamSeries 62
Date: 8/1/2010
Corporate Securities Limited Representative ExaminationSeries 72
Date: 12/16/2002
Government Securities Representative ExaminationCurrent Firm
LIDO
CRD#: 269866 / SEC#: 801-100433
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 27,931 |
| AUM (Assets Under Management) | $ 29,080,337,946 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 11/26/2024 | ||
| 01/26/2024 | ||
| 02/28/2023 |
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.
