Jean T. Riordan
VISION RETIREMENT
Poughkeepsie, NY 12603
Some features on this profile are disabled
CRD#: 2138296
Professional summary
Jean Tobin Riordan, CFP®, who also goes by Jean Tobin Hattar, Jean Kathleen Tobin, Jean Kathleen Tobinhattar, is a registered financial advisor currently at VISION RETIREMENT located in Poughkeepsie, New York and LPL FINANCIAL LLC located in Poughkeepsie, New York.
Jean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Jean has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jean Tobin Hattar | Jean Kathleen Tobin | Jean Kathleen Tobinhattar
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.
1. 10/17/2017 - Affinity Advantage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - AGENT - Start Date 5/24/2017 - 10 Hours Per Month/10 During Securities Trading - Business Name and lines of insurance sold. 2. 11/29/2017 - MISCEDRA & ASSOCIATES - Not Investment Related - 1 COMMERCE ST POUGHKEEPSIE NY - Property and Casualty - AGENT - Start Date 6/7/2017 - 4 Hours Per Month/2 During Securities Trading. 3. 10/18/2019 - Taxes by Riordan - Investment Related - Home Based - Tax Prep/Accounting/CPA - Tax Preparer - Start Date: 06/03/2019 - 4 Hours Per Month/0 Hours During Securities Trading. 4. 2/20/2020 - Advisors Insurance Brokers - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 01/01/2019 - 12 Hours Per Month/6 Hours During Securities Trading. 5. 04/19/2022 - Vision Retirement, LLC - Investment-Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 04/08/2022 - 30 Hours Per Month/30 Hours During Securities Trading - Time Spent 25% - I provide investment advisory services through Vision Retirement, LLC, an independent investment advisor firm. I started this business activity in 4/2022. I expect to spend approximately 30 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial. 6. 04/25/2022 - Ridgewood Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 04/08/2022 - 10 Hours Per Month/ 10 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Jean Tobin Riordan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2018
Experience
Current
March 31, 2022 - Present
VISION RETIREMENT
Office #1: 1 Commerce Street, Poughkeepsie, NY 12603RIA
CRD#: 173064
Poughkeepsie, NY
Current
November 29, 2017 - Present
LPL FINANCIAL LLC
Office #1: 1 Commerce St, Poughkeepsie, NY 12063RIA
BD
CRD#: 6413
POUGHKEEPSIE, NY
Past
November 29, 2017 - August 16, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
TARRYTOWN, NY
Past
November 13, 2007 - December 31, 2021
LEXCO WEALTH MANAGEMENT, INC.
RIA
CRD#: 134425
TARRYTOWN, NY
Past
May 18, 2007 - December 6, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
POUGHKEEPSIE, NY
Past
April 16, 2007 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
POUGHKEEPSIE, NY
Past
September 22, 2006 - April 18, 2007
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
FISHKILL, NY
Past
June 7, 2001 - April 18, 2007
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
FISHKILL, NY
Past
May 14, 1999 - June 22, 2001
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
October 16, 1995 - May 14, 1999
KEY INVESTMENTS INC.
BD
CRD#: 15873
CLEVELAND, OH
Past
March 2, 1995 - October 26, 1995
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
January 31, 1995 - February 22, 1995
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
PORTLAND, OR
Past
September 3, 1992 - January 31, 1995
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
NEW YORK, NY
Past
July 1, 1992 - August 21, 1992
FISCO EQUITY, INC.
BD
CRD#: 24067
LINCOLN, RI
Past
August 5, 1991 - May 19, 1992
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
August 5, 1991 - May 19, 1992
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VR
VISION RETIREMENT
THE LANZA FINANCIAL GROUP | VISION RETIREMENT, LLC | VISION RETIREMENT
CRD#: 173064 / SEC#: 801-126524
RIA
Registered Investment Advisory firm - (9/8/2022 Approved)New Jersey
Registered Investment Advisory firm - (9/30/2022 Terminated)New York
Registered Investment Advisory firm - (9/14/2022 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/29/2017)
RR
California(11/29/2017)
RR
Colorado(10/31/2018)
RR
Connecticut(11/29/2017)
RR
Delaware(9/9/2020)
RR
Florida(11/29/2017)
RR
Georgia(5/19/2023)
RR
Illinois(11/29/2017)
RR
Maine(9/9/2020)
RR
Massachusetts(11/29/2017)
RR
New Hampshire(3/26/2018)
RR
New Jersey(11/29/2017)
IAR
New Jersey(3/31/2022)
RR
New Mexico(9/9/2020)
RR
New York(11/29/2017)
IAR
New York(4/1/2022)
RR
North Carolina(11/29/2017)
RR
Pennsylvania(11/29/2017)
RR
Rhode Island(11/29/2017)
RR
South Carolina(11/29/2017)
RR
Tennessee(7/21/2021)
RR
Texas(11/29/2017)
RR
Virginia(9/9/2020)
RR
West Virginia(3/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VR
VISION RETIREMENT
THE LANZA FINANCIAL GROUP | VISION RETIREMENT, LLC | VISION RETIREMENT
CRD#: 173064 / SEC#: 801-126524
RIA
Registered Investment Advisory firm - (9/8/2022 Approved)New Jersey
Registered Investment Advisory firm - (9/30/2022 Terminated)New York
Registered Investment Advisory firm - (9/14/2022 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
171 East Ridgewood Avenue Suite 205, Ridgewood, NJ 07450
Mailing Address
Phone number
(201) 447-2212
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 856 |
| AUM (Assets Under Management) | $ 497,261,766 |
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
VISION RETIREMENT
CRD#: 173064Poughkeepsie, NY 12603TRUST BUT VERIFY
Monitor Jean Riordan
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
