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KP

Kieran D. Pinney

TAG CAPITAL PARTNERS
NEW YORK, NY 10016
Some features on this profile are disabled
CRD#: 6145348
KP

Professional summary

Kieran Defield Pinney, who also goes by Kieran D Pinney, Kieran Pinney, is a registered financial professional currently at TAG CAPITAL PARTNERS located in New York, New York.

Kieran is registered as a RR (Registered Representative) and started their career in finance in 2013. Kieran has worked at 3 firms and has passed the SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kieran D Pinney | Kieran Pinney

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 Kieran Defield Pinney'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

January 24, 2023 - Present

TAG CAPITAL PARTNERS

Office #1: 275 Madison Ave 30th Floor, New York, NY 10016
BD
CRD#: 318850
NEW YORK, NY
Past

March 2, 2020 - December 12, 2022

ASHLAND SECURITIES, LLC

BD
CRD#: 297523
NEW YORK, NY
Past

February 8, 2013 - April 1, 2020

DRIVEWEALTH INSTITUTIONAL LLC

BD
CRD#: 33038
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/7/2013
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TAG CAPITAL PARTNERS
TAG CAPITAL PARTNERS | TAG CAPITAL PARTNERS LLC

CRD#: 318850 / SEC#: , 8-70927

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

Main Address
275 Madison Ave 30th Floor, New York, NY 10016
Mailing Address
275 Madison Ave 30th Floor, New York, NY 10016
Phone number
(212) 993-7400
Established
New York since 01/06/2022
Firm type
Limited Liability Company
Fiscal year end
December
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

Direct owners and executive officers

NamePositionCRD#
TAG FINANCIAL INSTITUTIONS GROUP, LLCOWNER
BROWN, EVANCHIEF COMPLIANCE OFFICER6563464
NIGRO, STEVEN HAROLDCHIEF EXECUTIVE OFFICER / FINOP1384876

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

TAG CAPITAL PARTNERS

CRD#: 318850New York, NY 10016

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