RC
Richard J. Carmody
ING FINANCIAL MARKETS LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 6263861
RC
Professional summary
Richard James Carmody Jr., who also goes by Richard J Carmody, Richard James Carmody, is a registered financial professional currently at ING FINANCIAL MARKETS LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2014. Richard has worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 7TO and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard J Carmody | Richard James Carmody
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard James Carmody Jr.'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®
NoneExperience
Current
September 25, 2023 - Present
ING FINANCIAL MARKETS LLC
Office #1: 1133 Avenue Of The Americas, New York, NY 10036BD
CRD#: 28872
New York, NY
Past
November 1, 2021 - May 9, 2023
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
February 29, 2016 - October 31, 2017
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
Past
March 10, 2014 - December 22, 2015
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
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
Alabama(2/11/2025)
RR
Alaska(2/11/2025)
RR
Arizona(9/25/2023)
RR
Arkansas(9/25/2023)
RR
California(9/25/2023)
RR
Colorado(9/25/2023)
RR
Connecticut(9/25/2023)
RR
Delaware(9/25/2023)
RR
District of Columbia(9/25/2023)
RR
Florida(9/25/2023)
RR
Georgia(9/25/2023)
RR
Hawaii(2/11/2025)
RR
Idaho(2/11/2025)
RR
Illinois(9/25/2023)
RR
Indiana(2/11/2025)
RR
Iowa(2/11/2025)
RR
Kansas(2/11/2025)
RR
Kentucky(9/25/2023)
RR
Louisiana(9/25/2023)
RR
Maine(2/11/2025)
RR
Maryland(9/25/2023)
RR
Massachusetts(9/25/2023)
RR
Michigan(9/25/2023)
RR
Minnesota(9/25/2023)
RR
Mississippi(9/25/2023)
RR
Missouri(9/25/2023)
RR
Montana(2/11/2025)
RR
Nebraska(9/25/2023)
RR
Nevada(9/25/2023)
RR
New Hampshire(2/11/2025)
RR
New Jersey(9/25/2023)
RR
New Mexico(9/25/2023)
RR
New York(9/25/2023)
RR
North Carolina(9/25/2023)
RR
North Dakota(2/11/2025)
RR
Ohio(9/26/2023)
RR
Oklahoma(2/11/2025)
RR
Oregon(2/11/2025)
RR
Pennsylvania(9/25/2023)
RR
Puerto Rico(2/11/2025)
RR
Rhode Island(2/11/2025)
RR
South Carolina(2/11/2025)
RR
South Dakota(2/11/2025)
RR
Tennessee(9/25/2023)
RR
Texas(9/25/2023)
RR
Utah(9/25/2023)
RR
Vermont(2/11/2025)
RR
Virginia(9/25/2023)
RR
Washington(9/25/2023)
RR
West Virginia(2/11/2025)
RR
Wisconsin(9/25/2023)
RR
Wyoming(2/11/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/30/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
IF
ING FINANCIAL MARKETS LLC
ING (U.S.) SECURITIES, FUTURES & OPTIONS INC. | QUANTUM SECURITIES, INC. | ING SECURITIES DERIVATIVES CLEARING | ING SECURITIES & OPTIONS | ING FINANCIAL MARKETS LLC | ING BARINGS CORP.
CRD#: 28872 / SEC#: , 8-43978
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1133 Avenue Of The Americas, New York, NY 10036
Mailing Address
1133 Avenue Of The Americas, New York, NY 10036
Phone number
(646) 424-6000
Established
Delaware since 11/06/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ING FINANCIAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BENETREU, LINDA MARIANNE | DIRECTOR | 6448656 |
| CICCHILLO, DARREN THOMAS | CHIEF OPERATING OFFICER | 2261428 |
| MAESTAS, ADRIANA EMILIA | GENERAL COUNSEL | 7415275 |
| MCCARTHY, JOHN | CHIEF COMPLIANCE OFFICER | 4117424 |
| MEYER, KATHARYN ARABELA BOYLE | CHIEF EXECUTIVE OFFICER | 3063186 |
| SCHAEFFER, ANDREW DAVID | DIRECTOR | 1817568 |
| TORNIJ, MARK | DIRECTOR | 7337753 |
| WOLVIUS, JOHANNES DERK | CHIEF FINANCIAL OFFICER | 7053218 |
Disclosures
| Regulatory Event | 10 |
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.
