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Kevin Francis Oreilly

Smbc Nikko Securities America, Inc.

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About Kevin Francis Oreilly

Kevin Francis Oreilly is a registered representative with Smbc Nikko Securities America, Inc. Kevin has been in the financial services industry since 1999. Kevin holds FINRA Series 7, 63, 79, 99 and SIE registrations as well as a Uniform Investment Adviser Law Examination (Series 65). Kevin has previously worked at Deutsche Bank Securities Inc., UBS Securities LLC, Morgan Stanley & Co. LLC, Banc of America Securities LLC, Citigroup Investment Services and Royce Investment Group, Inc. Kevin has been registered with FINRA since 2021.

Firm Information

Kevin Oreilly is currently registered with Smbc Nikko Securities America, Inc.. Smbc Nikko Securities America, Inc. is a Corporation registered in the United States and has been in operation since August 8, 1990. The firm has a presence in all 50 states and the District of Columbia, with a total of 52 state registrations. Smbc Nikko Securities America, Inc. has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

313

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Kevin Oreilly’s Registration & Firm History

NJ

10/05/2021 - Present

Smbc Nikko Securities America, Inc. (Jersey City NJ)

FL

02/07/2014 - 10/14/2021

DEUTSCHE BANK SECURITIES INC. (JACKSONVILLE FL)

NY

07/26/2012 - 11/20/2012

UBS SECURITIES LLC (NEW YORK NY)

NY

03/22/2012 - 05/10/2012

MORGAN STANLEY & CO. LLC (NEW YORK NY)

CT

06/30/2004 - 03/26/2012

UBS SECURITIES LLC (STAMFORD CT)

NY

10/18/2000 - 07/28/2003

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

01/30/1995 - 01/22/1999

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

NY

02/07/1994 - 03/04/1994

ROYCE INVESTMENT GROUP, INC. (WOODBURY NY)

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Licenses & Designations

IA

Issued 11/09/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/28/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/04/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

N

NYSE Arca, Inc.

Disclosures

There are no public disclosures for Kevin Francis Oreilly.
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