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Detailed Report
SCOTT REILLY
JOSEPH S REILLY, JOSEPH SCOTT REILLY
CRD#: 3115010
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 5 PARK PLAZA 19TH & 20TH FLS
[LT/SB/SG-RBO]
IRVINE, CA 92614
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2014 (5 years)2 FIRMS2014 - Present (10 years)BE*TRADE SECURITIES LLC (CRD# 29106)2004 - 2008 (4 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2002 - 2003 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2000 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - 1999 (<1 year)IAE*TRADE CAPITAL MANAGEMENT, LLC (CRD# 42159)2006 - 2008 (1 year)
Disclosure(s)
View By:
10/3/2008
Customer Dispute
Denied
2/19/2008
Customer Dispute
Denied
License(s)

State Registrations

B
California 12/17/2014
IA
New York 4/8/2025
IA
California 12/17/2014
B
Oregon 1/13/2016
B
Colorado 10/1/2020
B
Texas 12/17/2014
B
Connecticut 1/13/2025
IA
Texas 12/17/2014
B
New York 4/7/2025

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
5 PARK PLAZA 19TH & 20TH FLS [LT/SB/SG-RBO], IRVINE, CA 92614
Registered with this firm since 12/17/2014
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
5 PARK PLAZA 19TH & 20TH FLS [LT/SB/SG-RBO], IRVINE, CA 92614
Registered with this firm since 12/17/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/23/2009 - 12/18/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
B
 10/23/2009 - 12/18/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
IA
 01/25/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BREA, CA
B
 01/25/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BREA, CA
IA
 09/27/2006 - 02/05/2008 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) ARLINGTON, VA
B
 01/14/2004 - 02/05/2008 E*TRADE SECURITIES LLC (CRD#:29106) COSTA MESA, CA
B
 09/23/2002 - 10/15/2003 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 06/15/1999 - 02/25/2000 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 10/21/1998 - 01/26/1999 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.