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KM

Kilty N. Mahoney

Some features on this profile are disabled
CRD#: 1431175
KM

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.

Kilty N Mahoney, who also goes by Kilty Nolan Mahoney, Kilty Tara Ann Nolan, Kilty Taraann Nolan, was a registered financial professional .

Kilty is a previously registered financial professional and started their career in finance in 1991. Kilty had worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kilty Nolan Mahoney | Kilty Tara Ann Nolan | Kilty Taraann Nolan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 16, 2022 - November 25, 2025

INDEPENDENCE POINT SECURITIES LLC

BD
CRD#: 318171
NEW YORK, NY
Past

September 28, 2020 - November 30, 2021

SHARENETT SECURITIES LLC

BD
CRD#: 151011
NEW YORK, NY
Past

February 25, 2020 - July 15, 2020

WORDEN CAPITAL MANAGEMENT LLC

BD
CRD#: 148366
New York, NY
Past

August 15, 2019 - March 6, 2020

AXIOM CAPITAL MANAGEMENT, INC.

BD
CRD#: 26580
NEW YORK, NY
Past

February 10, 2016 - August 15, 2019

CDX ADVISORS

BD
CRD#: 171500
New York, NY
Past

April 11, 2001 - April 30, 2002

GREENBRIDGE PARTNERS LLC

BD
CRD#: 48025
GREENWICH, CT
Past

January 8, 1998 - March 5, 2001

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

November 28, 1997 - January 25, 1998

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 25, 1991 - January 25, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/18/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/17/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/2/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/28/2002
General Securities Principal Examination

Current Firm

IP
INDEPENDENCE POINT SECURITIES LLC
INDEPENDENCE POINT SECURITIES | INDEPENDENCE POINT SECURITIES, LLC | INDEPENDENCE POINT SECURITIES LLC

CRD#: 318171 / SEC#: , 8-70853

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
101 Greenwich Street Suite 1202, New York, NY 10006
Mailing Address
101 Greenwich Street Suite 1202, New York, NY 10006
Phone number
(212) 468-5850
Established
Delaware since 11/23/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
INDEPENDENCE POINT ADVISORS LLCSOLE MEMBER
BLANCO MARQUEZ, ADRIANA GRISELLECHIEF COMPLIANCE OFFICER7778003
CLARKE WOLFF, ANNECHIEF EXECUTIVE OFFICER1983092
ROSENBERG, JULIE SUZANNESENIOR CONTROLLER & FINOP/PFO/POO4960894

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.

Company Information

INDEPENDENCE POINT SECURITIES LLC

CRD#: 318171

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