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KS

Kimberly C. Schwartz

OLD CITY SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 2658384
KS

Professional summary

Kimberly Corrigan Schwartz, who also goes by Kimberly Tara Corrigan, Kimberly Corrigan, Kimberly Corrigan Delancey, is a registered financial professional currently at OLD CITY SECURITIES LLC located in New York, New York.

Kimberly is registered as a RR (Registered Representative) and started their career in finance in 1998. Kimberly has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kimberly Tara Corrigan | Kimberly Corrigan | Kimberly Corrigan Delancey

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 Kimberly Corrigan Schwartz'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

May 6, 2020 - Present

OLD CITY SECURITIES LLC

Office #1: 589 Fifth Avenue 17th Floor, New York, NY, 10017
BD
CRD#: 171910
New York, NY
Past

September 16, 2019 - May 6, 2020

TEMPLUM MARKETS LLC

BD
CRD#: 102840
New York, NY
Past

March 10, 2017 - May 4, 2020

OLD CITY SECURITIES LLC

BD
CRD#: 171910
NEW YORK, NY
Past

January 6, 2006 - September 12, 2016

D.E. SHAW SECURITIES, L.L.C.

BD
CRD#: 24332
NEW YORK, NY
Past

April 20, 2004 - January 5, 2006

FLAGLER DRIVE FINANCIAL, L.P.

BD
CRD#: 123758
DALLAS, TX
Past

July 24, 1998 - July 21, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 16, 1998 - February 17, 1999

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA

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
(5/6/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 1/11/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/10/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OC
OLD CITY SECURITIES LLC
OLD CITY SECURITIES LLC

CRD#: 171910 / SEC#: , 8-69488

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

Main Address
589 Fifth Avenue Ph, New York, NY 10017
Mailing Address
445 Central Avenue, Suite 328, Cedarhurst, NY 11516
Phone number
(212) 671-1976
Established
New York since 04/25/2014
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 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#
OLD CITY SECURITIES HOLDINGS GPHOLDING COMPANY
BARNETT, TREVOR CLARKMEMBER4722196
DAMSKI, SETH ADAMFOUNDING MEMBER2940303
FELDMAN, EYTAN DOVMEMBER, CCO, EXECUTIVE REP, AML SUPERVISOR5708084
MARRONE, MICHAEL THOMASFINOP
SIRIGNANO, GEORGE AMERICUSMANAGING MEMBER6678999

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

OLD CITY SECURITIES LLC

CRD#: 171910New York, NY 10017

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