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KD

Kristian D'agostino

NASDAQ EXECUTION SERVICES
New York, NY 10036
Some features on this profile are disabled
CRD#: 5240094
KD

Professional summary

Kristian D'agostino, who also goes by Kristian Ellis D'agostino, is a registered financial professional currently at NASDAQ EXECUTION SERVICES, LLC located in New York, New York.

Kristian is registered as a RR (Registered Representative) and started their career in finance in 2007. Kristian has worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kristian Ellis D'agostino

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 Kristian D'agostino'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

February 6, 2026 - Present

NASDAQ EXECUTION SERVICES, LLC

Office #1: 151 W 42nd Street, New York, NY 10036
BD
CRD#: 7270
New York, NY
Past

April 7, 2025 - October 21, 2025

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

April 7, 2025 - October 21, 2025

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

March 31, 2016 - February 3, 2025

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
NEW YORK, NY
Past

March 4, 2016 - February 3, 2025

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY
Past

March 4, 2011 - February 12, 2016

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
NEW YORK, NY
Past

August 15, 2008 - March 2, 2011

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

July 2, 2007 - September 11, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
WALL TOWNSHIP, NJ
Past

February 16, 2007 - February 28, 2007

TAFFERER TRADING, LLC

BD
CRD#: 36816
JERSEY CITY, NJ

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
(2/6/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/29/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 3/25/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/26/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/2007
General Securities Representative Examination
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

NE
NASDAQ EXECUTION SERVICES, LLC
BEAR STEARNS COMPUTER NETWORK INC. | THE BRUT ECN, L.L.C. | STRIKE TECHNOLOGIES LLC | NASDAQ EXECUTION SERVICES, LLC | COMMON BACK OFFICE, INC. | BSC SECURITIES CORP. | BRUT, LLC

CRD#: 7270 / SEC#: , 8-37329

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

Main Address
2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104
Mailing Address
2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104
Phone number
(215) 496-5000
Established
Delaware since 11/25/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
THE NASDAQ STOCK MARKET, LLCSOLE MEMBER
CRANE, LINDAPRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER4374198
HINTON-MILLER, BRENDACHIEF COMPLIANCE OFFICER3208241
LAWN, DAVID EDWARDCHIEF EXECUTIVE OFFICER3155025
MARIGLIANO, DONALD EDWARD JRREGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL1843181

Disclosures

Regulatory Event10

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

NASDAQ EXECUTION SERVICES, LLC

CRD#: 7270New York, NY 10036

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