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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Reginald? Claim Your ProfileReginald Lillie is a financial advisor with over 17 years of experience in the industry. Reginald is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and is currently licensed in California, Connecticut, and Texas. Previously, Reginald was associated with CHASE INVESTMENT SERVICES CORP. and AMERIPRISE FINANCIAL SERVICES, INC. Reginald has a Series 66 license, along with several other licenses including Series 31, SIE and Series 7. Reginald serves a variety of client types including individuals, high-net-worth individuals, corporations, charitable organizations, and retirement plans.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
11/18/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PASADENA CA)
TX
06/19/2008 - 10/27/2011
CHASE INVESTMENT SERVICES CORP. (HOUSTON TX)
TX
03/21/2006 - 04/29/2008
AMERIPRISE FINANCIAL SERVICES, INC. (HOUSTON TX)
BOTH
Issued 04/14/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/31/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/09/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/11/2024
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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