James O'reilly, financial advisor Mequon WI
93 score

James O'reilly

CRD Number: 5614137
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

James O'reilly (CRD# 5614137) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Mequon, WI and has over 7 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Mequon, WI Jan 2011 - Current 5
Upwind Capital Partners, LLC Chanhassen, MN Nov 2009 - Jan 2011 1
Brokerbank Securities, Inc. Bloomington, MN Jan 2010 - Mar 2010 < 1
Healthcare Ip Partners Minneapolis, MN Apr 2009 - Dec 2009 < 1
Healthcare Ip Partners, Inc. Minneapolis, MN Nov 2008 - Nov 2009 1
Manchester Financial Group Minneapolis, MN Sep 2008 - Mar 2009 < 1
Manchester Companies, Inc. Minneapolis, MN Feb 2008 - Nov 2008 < 1
Upwind Capital Chanhassen, MN Dec 2007 - Sep 2008 < 1
Upwind Capital Partners, Inc. Minneapolis, MN Apr 2007 - Feb 2008 < 1
Diversinet Corp Tornto, Jun 2007 - Dec 2007 < 1
Unemployed Chanhassen, MN Mar 2007 - Jun 2007 < 1
Visionshare, Inc. St. Paul, MN Apr 2004 - Apr 2007 3
Vision Share St Paul, MN Sep 2003 - Mar 2007 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 2008
S65 NASAA Investment Advisors Law Examination Mar 2011
Contact Info for James O'reilly
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • TX
  • WI
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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