Kevin P. Riordan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kevin Patrick Riordan, who also goes by Kevin P Riordan, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1988. Kevin had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2016 - March 13, 2020
TRUIST ADVISORY SERVICES, INC.
April 5, 2006 - April 21, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2003 - September 9, 2004
COLUMBIA MANAGEMENT ADVISORS, INC.
September 5, 2000 - November 19, 2001
APEX CLEARING CORPORATION
August 21, 2000 - September 5, 2000
ROBERTSON STEPHENS, INC.
March 31, 2000 - April 27, 2000
ROBERTSON STEPHENS, INC.
July 1, 1999 - April 3, 2000
APEX CLEARING CORPORATION
February 16, 1993 - June 27, 1997
FLEET ENTERPRISES, INC.
September 11, 1990 - June 27, 1997
FLEET ENTERPRISES, INC.
September 1, 1988 - February 8, 1990
S.G. WARBURG & CO. INC.
March 30, 1988 - September 1, 1988
S.G. WARBURG SECURITIES INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
