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CR

Cory F. Riegelhaupt

ELEQUIN SECURITIES
New York, NY 10018
Some features on this profile are disabled
CRD#: 7464293
CR

Professional summary

Cory Franklin Riegelhaupt, who also goes by Cory F Riegelhaupt, Cory Riegelhaupt, is a registered financial professional currently at ELEQUIN SECURITIES LLC located in New York, New York.

Cory is registered as a RR (Registered Representative) and started their career in finance in 2022. Cory has worked at 4 firms and has passed the Series 7TO, Series 57TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cory F Riegelhaupt | Cory Riegelhaupt

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 Cory Franklin Riegelhaupt'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

May 5, 2026 - Present

ELEQUIN SECURITIES LLC

Office #1: 1333 Broadway Suite 500, New York, NY 10018
BD
CRD#: 311650
New York, NY
Past

December 14, 2023 - December 26, 2024

OLD MISSION MARKETS LLC

BD
CRD#: 281867
New York, NY
Past

December 14, 2023 - April 30, 2026

OLD MISSION CAPITAL, LLC

BD
CRD#: 146991
New York, NY
Past

March 10, 2022 - December 12, 2022

SUSQUEHANNA SECURITIES, LLC

BD
CRD#: 35874
BALA CYNWYD, PA

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

General Industry/Product Exam
RR
Series 7TO
Date: 1/5/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 3/10/2022
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 2/18/2022
Securities Industry Essentials Examination
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA

Current Firm

ES
ELEQUIN SECURITIES LLC
ELEQUIN SECURITIES LLC

CRD#: 311650 / SEC#: , 8-70654

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1333 Broadway Suite 500, New York, NY 10018
Mailing Address
1333 Broadway Suite 500, New York, NY 10018
Phone number
(929) 346-7126
Established
Delaware since 04/07/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ELEQUIN HOLDINGS LLCPARENT COMPANY
CROTTY, CHRISTOPHER CHARLESCHIEF COMPLIANCE OFFICER2488082
FINLAYSON, JAMES DREWPRESIDENT, FINOP, COO3096527
GUTIERREZ, PETER GERMANCHIEF EXECUTIVE OFFICER2933355

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

ELEQUIN SECURITIES LLC

CRD#: 311650New York, NY 10018

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