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Kevin James Riordan

ING Financial Markets LLC

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About Kevin James Riordan

Kevin Riordan is a financial professional with over 28 years of experience in the securities industry. Kevin has held positions at RBS Securities Inc., ABN AMRO Incorporated, Dresdner Kleinwort Securities LLC, UBS Warburg LLC, and PaineWebber Incorporated. Kevin is currently registered with ING Financial Markets LLC. Kevin is a Series 7, Series 3, Series 55, Series 24, Series 57TO, Series 99TO, and SIE licensed professional. Kevin is registered in 31 states and the District of Columbia.

Firm Information

Kevin Riordan is currently registered with ING Financial Markets LLC. ING Financial Markets LLC is a Limited Liability Company formed in November 1995 and is registered in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been approved for SEC registration and has reported 10 Regulatory Events.

Not reported

Assets Under Management

Not reported

Total Clients

40

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Kevin Riordan’s Registration & Firm History

NY

10/08/2014 - Present

ING Financial Markets LLC (New York NY)

CT

09/11/2009 - 10/07/2014

RBS SECURITIES INC. (STAMFORD CT)

CT

03/05/2007 - 09/11/2009

ABN AMRO INCORPORATED (STAMFORD CT)

NY

07/06/2001 - 03/05/2007

DRESDNER KLEINWORT SECURITIES LLC (NEW YORK NY)

NY

12/04/2000 - 05/10/2001

UBS WARBURG LLC (NEW YORK NY)

NJ

09/22/1994 - 12/04/2000

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

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Licenses & Designations

BC

Issued 11/25/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/05/2010

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/21/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/04/1998

Series 3 - National Commodity Futures Examination

BC

Issued 09/21/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Kevin James Riordan.
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