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SK

Shane J. Kindley

MONNESS CRESPI HARDT & CO.
NEW YORK, NY 10017-2047
Some features on this profile are disabled
CRD#: 5159867
SK

Professional summary

Shane Joseph Kindley is a registered financial professional currently at MONNESS CRESPI HARDT & CO., INC. located in New York, New York.

Shane is registered as a RR (Registered Representative) and started their career in finance in 2006. Shane has worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shane Joseph Kindley'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 24, 2022 - Present

MONNESS CRESPI HARDT & CO., INC.

Office #1: 780 Third Avenue 24th Fl, New York, NY 10017-2047
BD
CRD#: 7424
NEW YORK, NY
Past

September 23, 2016 - May 25, 2022

WEDBUSH SECURITIES INC.

BD
CRD#: 877
New York, NY
Past

February 11, 2015 - August 30, 2016

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

May 17, 2013 - January 22, 2015

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

July 11, 2008 - October 29, 2008

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
NEW YORK, NY
Past

July 11, 2008 - March 3, 2009

ADVANTAGE CAPITAL CORPORATION

BD
CRD#: 146
NEW YORK, NY
Past

July 11, 2008 - January 22, 2015

OSAIC SERVICES, INC.

BD
CRD#: 133763
NEW YORK, NY
Past

July 11, 2008 - January 22, 2015

FSC SECURITIES CORPORATION

BD
CRD#: 7461
NEW YORK, NY
Past

June 4, 2008 - January 22, 2015

OSAIC WEALTH, INC.

BD
CRD#: 23131
NEW YORK, NY
Past

May 15, 2007 - May 25, 2007

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

August 10, 2006 - September 28, 2006

MAXIM GROUP LLC

BD
CRD#: 120708
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
California
(5/24/2022)
RR
Connecticut
(5/24/2022)
RR
Illinois
(5/24/2022)
RR
Massachusetts
(5/24/2022)
RR
Minnesota
(5/24/2022)
RR
New Jersey
(5/24/2022)
RR
New York
(5/24/2022)
RR
Ohio
(5/24/2022)
RR
Wisconsin
(5/24/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/25/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/2/2017
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 8/1/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/9/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/22/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

MC
MONNESS CRESPI HARDT & CO., INC.
MONNESS CRESPI HARDT & CO., INC. | MONNESS, WILLIAMS, CRESPI & CO., INC.

CRD#: 7424 / SEC#: , 8-21380

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
780 Third Avenue 24th Fl, New York, NY 10017-2047
Mailing Address
780 Third Avenue 24th Fl, New York, NY 10017-2047
Phone number
(212) 838-7575
Established
New York since 11/01/1996
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 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#
CRESPI, NEIL STEVENPRESIDENT/ (CEO-EQUIVALENT)857348
MONNESS, ANDREW JAMESCHAIRMAN/FINOP338145
BLANCO, WILLIAM JOHNVICE PRESIDENT/FINOP2759359
FERGUSON-MORAN, KAREN ANNCCO4669988

Disclosures

Regulatory Event4

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

MONNESS CRESPI HARDT & CO., INC.

CRD#: 7424New York, NY 10017-2047

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