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MR

Marina Rivkind

CNR SECURITIES
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 5856451
MR

Professional summary

Marina Rivkind is a registered financial professional currently at CNR SECURITIES, LLC located in New York, New York.

Marina is registered as a RR (Registered Representative) and started their career in finance in 2013. Marina has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

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 Marina Rivkind'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

September 14, 2017 - Present

CNR SECURITIES, LLC

Office #1: 400 Park Avenue 6th Floor, New York, NY 10022
BD
CRD#: 18466
NEW YORK, NY
Past

March 15, 2013 - January 10, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
FLORAL PARK, 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
(9/14/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 4/16/2013
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: 3/14/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CNR SECURITIES, LLC
CNR SECURITIES, LLC | ROCHDALE INVESTMENT MANAGEMENT INC. | RIM SECURITIES, LLC | RIM SECURITIES LLC

CRD#: 18466 / SEC#: , 8-36759

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

Main Address
400 Park Avenue 3rd Floor, New York, NY 10022
Mailing Address
400 Park Avenue 3rd Floor, New York, NY 10022
Phone number
(212) 702-3500
Established
Delaware since 10/11/2001
Firm type
Limited Liability Company
Fiscal year end
October
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

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CITY NATIONAL ROCHDALE HOLDINGS, LLCMANAGING MEMBER / 100% OWNER
BANUELOS, ALMA DELIABOARD DIRECTOR4530705
BARTON, RICHARD JOSEPHCHIEF COMPLIANCE OFFICER2040869
CEPLER, MITCHELL DANIELCFO AND FINOP4554270
DANIEL, JOBY SWANKUTTYBOARD DIRECTOR6616727
GIAQUINTO, GREGGPRESIDENT, CEO, & BOARD DIRECTOR3182583
O'KEEFFE, IVOR PATRICKBOARD DIRECTOR2397120
RILEY, SHAWN DAVIDBOARD DIRECTOR8157413

Disclosures

Regulatory Event3
Arbitration1

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

CNR SECURITIES, LLC

CRD#: 18466New York, NY 10022

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