Grace N. Reddington
Professional summary
Grace Nora Reddington, who also goes by Grace Reddington, is a registered financial professional currently at CHARDAN CAPITAL MARKETS LLC located in New York, New York.
Grace is registered as a RR (Registered Representative) and started their career in finance in 2023. Grace has worked at 1 firm and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Grace Nora Reddington's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 15, 2023 - Present
CHARDAN CAPITAL MARKETS LLC
Office #1: 1 Pennsylvania Plaza Suite 4800, New York, NY 10119State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/6/2023)
Exams
Series 7TO
Date: 4/14/2025
General Securities Representative ExaminationSeries 79TO
Date: 8/15/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
CHARDAN CAPITAL MARKETS LLC
CRD#: 120128 / SEC#: , 8-65277
Contact information
FINRA licenses (40 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARDAN SECURITIES, LLC | MEMBER | |
| GROSSMAN, JONAS SVEN MAGNUS | PRESIDENT | 3186901 |
| MILLER, ANDREW DAVID | FINOP | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL OPERATIONS CFFICER | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL FINANCIAL OFFICER | 5106774 |
| SOUTHWICK, DWIGHT CHRISTIAN | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 1353036 |
| URBACH, STEVEN AARON | CEO | 4137317 |
Disclosures
| Regulatory Event | 14 |
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.
