Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Reilly is a financial advisor with over 20 years of experience in the industry. James has a Series 7, 9, 10, 63, and 66 license and holds a FINRA registration with Charles Schwab & CO., Inc. James is registered in all 50 states and has a strong track record of providing personalized financial advice to a wide range of clients. James is a registered representative and investment advisor representative for Charles Schwab & CO., Inc. Previously, James was employed at TD AMERITRADE, INC. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
TX
01/26/2022 - Present
Charles Schwab & CO., Inc. (Westlake TX)
TX
04/15/2011 - 05/11/2024
TD AMERITRADE, INC. (WestLake TX)
TX
04/20/2011 - 12/20/2013
TD AMERITRADE CLEARING, INC. (FORT WORTH TX)
NJ
03/28/2006 - 02/28/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (JERSEY CITY NJ)
NJ
01/22/2004 - 12/31/2005
INVESTMENT ADVISORS & CONSULTANTS, INC. (WEST LONG BRANCH NJ)
NY
08/07/2001 - 11/03/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 11/18/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/22/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/22/2011
Series 4 - Registered Options Principal Examination
BC
Issued 08/20/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/12/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/06/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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