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DR

Daniel S. Riordan

LIVERMORE TRADING GROUP
New York, NY 10005
Some features on this profile are disabled
CRD#: 2603882
DR

Professional summary

Daniel Stephen Riordan, who also goes by Daniel Stephen Riordan, Daniel S Riordan, Daniel Riordan, is a registered financial professional currently at LIVERMORE TRADING GROUP, INC. located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1996. Daniel has worked at 12 firms and has passed the Series 66, Series 63, Series 19, Series 57TO, SIE, Series 25 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Stephen Riordan | Daniel S Riordan | Daniel Riordan

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 Daniel Stephen 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®
None

Experience

Current

September 12, 2024 - Present

LIVERMORE TRADING GROUP, INC.

Office #1: 11 Wall Street, New York, NY 10005
BD
CRD#: 32968
New York, NY
Past

March 20, 2024 - September 9, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
HUNTINGTON, NY
Past

January 5, 2024 - September 9, 2024

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

October 26, 2022 - February 22, 2023

PROMETHEUM ATS

BD
CRD#: 311636
NEW YORK, NY
Past

November 7, 2019 - October 28, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
COMMACK, NY
Past

October 8, 2019 - October 28, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
COMMACK, NY
Past

March 29, 2013 - June 29, 2018

TJM INVESTMENTS, LLC

BD
CRD#: 46300
CHICAGO, IL
Past

April 19, 2010 - April 8, 2013

MND PARTNERS, INC.

BD
CRD#: 131833
NEW YORK, NY
Past

January 15, 2010 - April 26, 2010

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
NEW YORK, NY
Past

October 23, 2007 - September 16, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
HUNTINGTON STATION, NY
Past

August 22, 2007 - September 17, 2007

ECHOTRADE LLC

BD
CRD#: 42239
PHOENIX, AZ
Past

March 16, 1999 - April 11, 2007

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

March 21, 1996 - February 2, 1998

NATWEST SECURITIES CORPORATION

BD
CRD#: 18238
NEW YORK, NY

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
New York
(9/12/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/6/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/17/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 19
Date: 1/13/2025
NYSE Floor Clerk - Equities Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 6/29/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 25
Date: 2/17/2000
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

LT
LIVERMORE TRADING GROUP, INC.
LIVERMORE TRADING GROUP, INC. | MALBIN SECURITIES CORP

CRD#: 32968 / SEC#: , 8-45248

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

Main Address
11 Wall Street, New York, NY 10005
Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038
Phone number
(212) 742-0460
Established
New York since 10/09/1992
Firm type
Corporation
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#
FINNERTY, ROBERT JAMESNON-VOTING SHAREHOLDER4324883
MCKENNA, PETERNON-VOTING SHAREHOLDER5200388
FITZGERALD, HEATHER MARIEFINOP/PFO/POO4427665
NAPOLITANO, VINCENT FRANKPRES/CEO/SECRETARY/TREASURER/CCO/COO/DIRECTOR/VOTING SHAREHOLDER3109342

Disclosures

Regulatory Event2

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

LIVERMORE TRADING GROUP, INC.

CRD#: 32968New York, NY 10005

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