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KR

Kristen M. Riordan

BROOKWOOD SECURITIES PARTNERS
Beverly, MA 01915
Some features on this profile are disabled
CRD#: 2409182
KR

Professional summary

Kristen M Riordan, who also goes by Kristen M Sackett, is a registered financial professional currently at BROOKWOOD SECURITIES PARTNERS, LLC located in Beverly, Massachusetts.

Kristen is registered as a RR (Registered Representative) and started their career in finance in 2016. Kristen has worked at 1 firm and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kristen M Sackett

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 Kristen M Riordan'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

October 19, 2016 - Present

BROOKWOOD SECURITIES PARTNERS, LLC

Office #1: 138 Conant Street, Beverly, MA 01915
BD
CRD#: 35187
Beverly, MA

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

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/19/2016
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BROOKWOOD SECURITIES PARTNERS, LLC
BROOKWOOD SECURITIES PARTNERS, L.P. | BROOKWOOD SECURITIES PARTNERS, LLC

CRD#: 35187 / SEC#: , 8-46627

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

Main Address
138 Conant Street, Beverly, MA 01915
Mailing Address
138 Conant Street, Beverly, MA 01915
Phone number
(978) 720-7500
Established
Delaware since 05/17/1993
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 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#
BROOKWOOD FINANCIAL PARTNERS, LLCSOLE MEMBER
AYLES, ERICKA LEIGHFINOP6530897
STROUSS, MARCIA GREILICHCHIEF COMPLIANCE OFFICER1365779
TRKLA, THOMAS NICHOLASCHAIRMAN, CHIEF EXECUTIVE OFFICER1238366

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

BROOKWOOD SECURITIES PARTNERS, LLC

CRD#: 35187Beverly, MA 01915

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