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RF

Richard A. Finley

KENMAR SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 6947510
RF

Professional summary

Richard Adam Finley is a registered financial professional currently at KENMAR SECURITIES, LLC located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2018. Richard 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 Richard Adam Finley'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

March 17, 2021 - Present

KENMAR SECURITIES, LLC

Office #1: 845 Third Avenue, Suite 1703, New York, NY 10022
BD
CRD#: 171793
New York, NY
Past

June 12, 2018 - April 4, 2019

GLOBAL FRONTERA MARKETS INC.

BD
CRD#: 144634
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
California
(3/17/2021)
RR
Connecticut
(3/17/2021)
RR
New York
(3/17/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 6/28/2018
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: 6/12/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

KS
KENMAR SECURITIES, LLC
KENMAR SECURITIES, LLC

CRD#: 171793 / SEC#: , 8-69482

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

Main Address
845 Third Avenue, Suite 1703, New York, NY 10022
Mailing Address
Po Box 5537, New York, NY 10185-5537
Phone number
(212) 596-3480
Established
Delaware since 03/17/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 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#
KENMAR OLYMPIA, LLCOWNER
COX, ROBERT CARLENCHIEF COMPLIANCE OFFICER1071103
SPOHR, DAVID KONRADPRINCIPAL FINANCIAL AND OPERATIONS OFFICER1507667

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

KENMAR SECURITIES, LLC

CRD#: 171793New York, NY 10022

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