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AK

Anthony J. Kiniry

Some features on this profile are disabled
CRD#: 726775
AK

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Anthony John Kiniry, who also goes by Tony Kiniry, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 1981. Anthony had worked at 11 firms and has passed the Series 63, Series 55, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tony Kiniry

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 19, 2012 - January 17, 2013

B. RILEY & CO., LLC

BD
CRD#: 40355
NEW YORK, NY
Past

July 1, 2008 - December 14, 2012

CARIS & COMPANY, INC.

BD
CRD#: 104235
NEW YORK, NY
Past

October 7, 2004 - July 7, 2008

FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC

BD
CRD#: 10485
NEW YORK, NY
Past

June 4, 2004 - October 4, 2004

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

May 16, 2003 - May 10, 2004

BLAYLOCK & COMPANY, INC.

BD
CRD#: 35669
NEW YORK, NY
Past

February 12, 1999 - May 2, 2003

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

June 12, 1996 - January 14, 1999

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

May 22, 1995 - May 30, 1996

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT
Past

March 19, 1993 - May 22, 1995

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

August 12, 1986 - March 5, 1993

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

March 23, 1981 - July 17, 1986

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501

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

State Security Law Exam
RR
Series 63
Date: 7/24/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 5/10/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/21/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/19/2007
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/29/1993
General Securities Principal Examination

Current Firm

BR
B. RILEY & CO., LLC
B. RILEY & CO., LLC | B. RILEY ASSET MANAGEMENT | B. RILEY AND CO. INC.

CRD#: 40355 / SEC#: , 8-49016

BD
Terminated by SEC on 03/03/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/30/2007
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
B. RILEY FINANCIAL, INC.OWNER
FORMAN, ALAN NEILGENERAL COUNSEL6517416
KELLEHER, THOMAS JOHNCO-CEO2881063
MARKUNAS, MICHAELCHIEF COMPLIANCE OFFICER, DEPUTY GENERAL COUNSEL1832307
MCCOY, MICHAEL RICHARDFINOP/CFO4743031
MOORE, ANDREW THOMASPRESIDENT4574997
RILEY, BRYANT RICHARDCO-CEO1702453

Disclosures

Regulatory Event6

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

B. RILEY & CO., LLC

CRD#: 40355

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