Sean M. 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.
Sean Michael Reilly, who also goes by Sean M Reilly, Mort Rothstein, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1999. Sean had worked at 6 firms and has passed the Series 63 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
January 20, 2004 - April 29, 2004
WINDSOR STREET CAPITAL, LP
July 30, 2003 - October 10, 2003
NATIONAL SECURITIES CORPORATION
January 30, 2001 - August 22, 2001
WOODSTOCK FINANCIAL GROUP, INC.
September 29, 2000 - January 24, 2001
CARNEGIE INVESTOR SERVICES INC.
September 26, 2000 - October 4, 2000
SCHNEIDER SECURITIES, INC.
July 18, 2000 - August 17, 2000
SCHNEIDER SECURITIES, INC.
May 16, 2000 - July 14, 2000
EQUITRADE SECURITIES CORPORATION
August 24, 1999 - May 22, 2000
CARNEGIE INVESTOR SERVICES 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
Current Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
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.
