Thomas P. Rielly
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 Patrick Rielly, who also goes by Thomas P Rielly, Tom Rielly, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1972. Thomas had worked at 8 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2002 - May 8, 2003
KOVACK SECURITIES INC.
August 20, 1991 - November 21, 2000
NATIONAL SELECTED SECURITIES CORP.
July 23, 1990 - February 8, 1991
HAMILTON INVESTMENTS, INC.
September 6, 1984 - June 22, 1990
NATIONAL SELECTED SECURITIES CORP.
September 26, 1983 - March 22, 1984
INVEST FINANCIAL CORPORATION
October 20, 1982 - October 18, 1983
INVESTACORP, INC.
January 4, 1982 - March 23, 1982
KANNE, PARIS & HOBAN, INC.
June 18, 1975 - January 24, 1980
T. RIELLY, INCORPORATED
October 6, 1972 - February 10, 1975
SHEARSON, HAMMILL & CO., INCORPORATED
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 1
Date: 9/1/1972
Registered Representative ExaminationF04
Date: 2/12/1975
Financial Principal ExaminationSeries 00
Date: 1/24/1975
General Securities Principal ExaminationCurrent Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
