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CR

Conor F. Riordan

CARTER CAPITAL
Southport, CT 06890
Some features on this profile are disabled
CRD#: 7293486
CR

Professional summary

Conor Fitz Lee Riordan is a registered financial professional currently at CARTER CAPITAL CORPORATION located in Southport, Connecticut.

Conor is registered as a RR (Registered Representative) and started their career in finance in 2021. Conor has worked at 2 firms and has passed the Series 63, Series 82TO, SIE and Series 79TO 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 Conor Fitz Lee Riordan'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 8, 2024 - Present

CARTER CAPITAL CORPORATION

Office #1: 99 Harbor Road The Tide Mill Building, Southport, CT 06890
BD
CRD#: 23521
Southport, CT
Past

January 15, 2021 - December 11, 2023

W G SECURITIES, LLC

BD
CRD#: 140869
WOODBRIDGE, CT

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
(1/8/2024)
RR
Connecticut
(1/8/2024)
RR
Florida
(1/8/2024)
RR
Georgia
(1/8/2024)
RR
Illinois
(1/8/2024)
RR
Massachusetts
(1/8/2024)
RR
New York
(1/8/2024)
RR
Ohio
(1/8/2024)
RR
Rhode Island
(1/22/2025)
RR
Texas
(1/8/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/13/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 3/22/2024
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 1/14/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/2/2020
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CARTER CAPITAL CORPORATION
CARTER & COMPANY | CARTER CAPITAL CORPORATION

CRD#: 23521 / SEC#: , 8-40524

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

Main Address
99 Harbor Road The Tide Mill Building, Southport, CT 06890
Mailing Address
99 Harbor Road The Tide Mill Building, Southport, CT 06890
Phone number
(203) 203-0053
Established
Connecticut since 08/06/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CARTER, MICHAEL RICHARDPRESIDENT, FINOP, CHIEF COMPLIANCE OFFICER, MANAGING PARTNER1899687
GOODRICH, RAMSEY WOODWARDOWNER, MANAGING PARTNER2746028
HANNAFIN, TERENCE PATRICKPARTNER & MANAGING DIRECTOR3174779

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

CARTER CAPITAL CORPORATION

CRD#: 23521Southport, CT 06890

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