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BD

Brian K. Dolliver

ARCADIA SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 2286894
BD

Professional summary

Brian Kemp Dolliver, who also goes by Kemp Dolliver, B. Kemp Dolliver, is a registered financial professional currently at ARCADIA SECURITIES, LLC located in New York, New York.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1992. Brian has worked at 6 firms and has passed the Series 63, Series 87, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kemp Dolliver | B. Kemp Dolliver

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) - BD

Click below to view Brian Kemp Dolliver's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 14, 2021 - Present

ARCADIA SECURITIES, LLC

Office #1: 600 Lexington Avenue 30th Floor, New York, NY 10022
BD
CRD#: 44656
New York, NY
Past

October 10, 2013 - December 31, 2019

CHERRYSTONE HILL CAPITAL MANAGEMENT LLC

RIA
CRD#: 169086
CAMBRIDGE, MA
Past

June 1, 2009 - August 2, 2011

AVONDALE PARTNERS, LLC

BD
CRD#: 46838
BOSTON, MA
Past

July 1, 1998 - January 13, 2009

COWEN AND COMPANY

BD
CRD#: 7616
BOSTON, MA
Past

May 8, 1998 - July 1, 1998

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

November 12, 1992 - May 24, 1993

AELTUS CAPITAL, INC

BD
CRD#: 24928
HARTFORD, CT

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: 5/22/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 87
Date: 4/1/2021
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
SIE
Date: 3/4/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/7/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/9/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/22/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ARCADIA SECURITIES, LLC
ARCADIA SECURITIES, LLC | TIBERIUS CAPITAL MARKETS, A DIVISION OF ARCADIA SECURITIES, LLC | BROOKLINE CAPITAL MARKETS, A DIVISION OF ARCADIA SECURITIES,LLC | B. DYSON CAPITAL ADVISORS, A DIVISION OF ARCADIA SECURITIES, LLC

CRD#: 44656 / SEC#: , 8-50764

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

Main Address
1370 Avenue Of The Americas 29th Fl, New York, NY 10019
Mailing Address
1370 Avenue Of The Americas 29th Fl, New York, NY 10019
Phone number
(212) 231-4101
Established
New York since 11/19/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KIKIS, THOMAS PETERMANAGER, SOLE MEMBER, GSP & PRESIDENT1198536
CHRISTAKOS, BASILCHIEF COMPLIANCE OFFICER & ROSFP2290795
SCHILLING, MICHAEL JAMESFINOP, PFO, POO2609624

Disclosures

Regulatory Event1

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

ARCADIA SECURITIES, LLC

CRD#: 44656New York, NY 10022

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