AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KM

Katie S. Mundy

STONEX FINANCIAL
New York, NY 10169
Some features on this profile are disabled
CRD#: 6708879
KM

Professional summary

Katie Shaine Mundy, who also goes by Katie S Richman, Katie Shaine Richman, Katie Richman, is a registered financial professional currently at STONEX FINANCIAL INC. located in New York, New York and R.J. O'BRIEN SECURITIES, LLC located in New York, New York.

Katie is registered as a RR (Registered Representative) and started their career in finance in 2017. Katie has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Katie S Richman | Katie Shaine Richman | Katie Richman

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 Katie Shaine Mundy'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

April 20, 2021 - Present

STONEX FINANCIAL INC.

Office #1: 230 Park Avenue 10th Floor, New York, NY, 10169
BD
CRD#: 45993
New York, NY
Current

September 8, 2025 - Present

R.J. O'BRIEN SECURITIES, LLC

Office #1: 230 Park Avenue 10th Floor, New York, NY 10169
BD
CRD#: 143624
NEW YORK, NY
Past

November 29, 2017 - February 17, 2021

ODEON CAPITAL GROUP LLC

BD
CRD#: 148493
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
(4/20/2021)
RR
Alaska
(4/20/2021)
RR
Arizona
(4/20/2021)
RR
Arkansas
(4/20/2021)
RR
California
(4/20/2021)
RR
Colorado
(4/20/2021)
RR
Connecticut
(4/20/2021)
RR
Delaware
(4/20/2021)
RR
Florida
(4/20/2021)
RR
Georgia
(4/20/2021)
RR
Hawaii
(4/20/2021)
RR
Idaho
(4/20/2021)
RR
Illinois
(4/20/2021)
RR
Indiana
(4/20/2021)
RR
Iowa
(4/20/2021)
RR
Kansas
(4/20/2021)
RR
Kentucky
(4/20/2021)
RR
Louisiana
(4/20/2021)
RR
Maine
(4/20/2021)
RR
Maryland
(4/20/2021)
RR
Massachusetts
(4/20/2021)
RR
Michigan
(4/20/2021)
RR
Minnesota
(4/20/2021)
RR
Mississippi
(4/20/2021)
RR
Missouri
(4/20/2021)
RR
Montana
(4/20/2021)
RR
Nebraska
(4/20/2021)
RR
Nevada
(4/20/2021)
RR
New Hampshire
(4/20/2021)
RR
New Jersey
(4/20/2021)
RR
New Mexico
(4/20/2021)
RR
New York
(4/20/2021)
RR
North Carolina
(4/20/2021)
RR
North Dakota
(4/20/2021)
RR
Ohio
(4/21/2021)
RR
Oklahoma
(4/20/2021)
RR
Oregon
(4/20/2021)
RR
Pennsylvania
(4/20/2021)
RR
Rhode Island
(4/20/2021)
RR
South Carolina
(4/20/2021)
RR
South Dakota
(4/20/2021)
RR
Tennessee
(4/20/2021)
RR
Texas
(4/20/2021)
RR
Utah
(4/20/2021)
RR
Vermont
(4/20/2021)
RR
Virginia
(4/20/2021)
RR
Washington
(4/20/2021)
RR
West Virginia
(4/20/2021)
RR
Wisconsin
(4/20/2021)
RR
Wyoming
(4/20/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/27/2017
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: 11/29/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

RO
R.J. O'BRIEN SECURITIES, LLC
R.J. O'BRIEN SECURITIES, INC. | R.J. O'BRIEN SECURITIES, LLC

CRD#: 143624 / SEC#: , 8-67587

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
222 South Riverside Plaza, Suite 1200, Chicago, IL 60606
Mailing Address
222 South Riverside Plaza Suite 1200, Chicago, IL 60606
Phone number
(312) 373-5000
Established
Delaware since 06/28/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 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#
JVMC HOLDINGS CORPSHAREHOLDER
CHO, DAIHEEFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER7424437
GABRIELE, JAMES ANDREWLLC BOARD OF MANAGERS2694460
RUCCI, HEATHERLLC BOARD OF MANAGERS5474878
SZEKELY, GIGICHIEF COMPLIANCE OFFICER2530826

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

R.J. O'BRIEN SECURITIES, LLC

CRD#: 143624New York, NY 10169

TRUST BUT VERIFY

Monitor Katie Mundy

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.