KR
Kevin J. Riordan
ING FINANCIAL MARKETS LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 2146406
KR
Professional summary
Kevin James Riordan is a registered financial professional currently at ING FINANCIAL MARKETS LLC located in New York, New York.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1994. Kevin has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Kevin James 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®
NoneExperience
Current
October 8, 2014 - Present
ING FINANCIAL MARKETS LLC
Office #1: 1133 Avenue Of The Americas, New York, NY 10036BD
CRD#: 28872
New York, NY
Past
September 11, 2009 - October 7, 2014
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
STAMFORD, CT
Past
March 5, 2007 - September 11, 2009
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
July 6, 2001 - March 5, 2007
COMMERZ MARKETS LLC
BD
CRD#: 41957
NEW YORK, NY
Past
December 4, 2000 - May 10, 2001
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
September 22, 1994 - December 4, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(11/20/2020)
RR
Arkansas(10/8/2014)
RR
California(10/8/2014)
RR
Colorado(10/8/2014)
RR
Connecticut(10/8/2014)
RR
Delaware(10/8/2014)
RR
District of Columbia(10/8/2014)
RR
Florida(10/8/2014)
RR
Georgia(10/8/2014)
RR
Illinois(10/8/2014)
RR
Kentucky(10/8/2014)
RR
Louisiana(10/8/2014)
RR
Maryland(10/8/2014)
RR
Massachusetts(10/8/2014)
RR
Michigan(10/8/2014)
RR
Minnesota(10/8/2014)
RR
Mississippi(10/8/2014)
RR
Missouri(10/8/2014)
RR
Nebraska(10/8/2014)
RR
Nevada(10/8/2014)
RR
New Jersey(10/8/2014)
RR
New Mexico(10/8/2014)
RR
New York(10/8/2014)
RR
North Carolina(10/8/2014)
RR
Ohio(10/8/2014)
RR
Pennsylvania(10/8/2014)
RR
Texas(10/8/2014)
RR
Utah(10/8/2014)
RR
Virginia(10/8/2014)
RR
Washington(10/8/2014)
RR
Wisconsin(10/8/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/21/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
IF
ING FINANCIAL MARKETS LLC
ING (U.S.) SECURITIES, FUTURES & OPTIONS INC. | QUANTUM SECURITIES, INC. | ING SECURITIES DERIVATIVES CLEARING | ING SECURITIES & OPTIONS | ING FINANCIAL MARKETS LLC | ING BARINGS CORP.
CRD#: 28872 / SEC#: , 8-43978
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
1133 Avenue Of The Americas, New York, NY 10036
Mailing Address
1133 Avenue Of The Americas, New York, NY 10036
Phone number
(646) 424-6000
Established
Delaware since 11/06/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ING FINANCIAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BENETREU, LINDA MARIANNE | DIRECTOR | 6448656 |
| CICCHILLO, DARREN THOMAS | CHIEF OPERATING OFFICER | 2261428 |
| MAESTAS, ADRIANA EMILIA | GENERAL COUNSEL | 7415275 |
| MCCARTHY, JOHN | CHIEF COMPLIANCE OFFICER | 4117424 |
| MEYER, KATHARYN ARABELA BOYLE | CHIEF EXECUTIVE OFFICER | 3063186 |
| SCHAEFFER, ANDREW DAVID | DIRECTOR | 1817568 |
| TORNIJ, MARK | DIRECTOR | 7337753 |
| WOLVIUS, JOHANNES DERK | CHIEF FINANCIAL OFFICER | 7053218 |
Disclosures
| Regulatory Event | 10 |
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.
