Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Riordan is a financial advisor with Oppenheimer & Co. Inc. He has been in the industry since 1997 and has been registered with Oppenheimer & Co. Inc. since 2004. Prior to Oppenheimer & Co. Inc., Thomas worked with Assent LLC and CIBC World Markets Corp. He has a wide range of experience in the financial services industry, including experience in securities trading, operations, and financial planning. Thomas is also a registered principal with the Financial Industry Regulatory Authority (FINRA). He holds the Series 7, Series 9, Series 10, Series 24, Series 55, Series 57TO, and Series 99TO licenses. Thomas provides a variety of financial services, including portfolio management, financial planning, and investment advisory services.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
06/10/2004 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
IL
03/14/2003 - 05/14/2004
ASSENT LLC (BOLINGBROOK IL)
NY
03/08/1996 - 03/26/2002
CIBC WORLD MARKETS CORP. (NEW YORK NY)
BC
Issued 07/15/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/11/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 05/10/1996
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 09/18/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/07/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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