Joseph D. Finneran

TRICORD WEALTH ADVISORS

WORTHINGTON, OH 43085

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CRD#: 1045946

Professional summary

Joseph Daniel Finneran, CFP® is a registered financial advisor currently at TRICORD WEALTH ADVISORS located in Worthington, Ohio and WORLD CHOICE SECURITIES, INC. located in Columbus, Ohio.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Joseph has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. FINANCIAL MAMAGEMENT CONSULTANTS, INC. dba Tricord Investment Advisors.; Investment Related; 5000 Arlington Center Blvd., Columbus , OH 43220; State Investment Advisor; Investment Advisor, Owner; Started 1988; 30-40 hours /week, 70% during trading hours; Investment Advice fee based, manage investment accounts. 2. Stewardship Foundation; Investment Related; P.O. Box 20427, Columbus, OH 43220; Public Foundation administration; Executive Management; 2012; 3 hours /week, 100% during trading hours; General foundation business, manage expenses, donations, select investment managers. 3. Independent Insurance Agent: 1750 Lane Rod, Columbus, OH 43220; Insurance Sales (fixed life); Agent: Independent: 1980: 0hrs/month; 0 during trading hours: legacy appointment with Union Central , now ALlianz Life.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Daniel Finneran'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®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

February 14, 2003 - Present

TRICORD WEALTH ADVISORS

Office #1: 100 Old W Wilson Bridge Road Suite 101, Worthington, OH 43085

RIA

CRD#: 119921

WORTHINGTON, OH

Current

October 11, 2022 - Present

WORLD CHOICE SECURITIES, INC.

Office #1: 5000 Arlington Centre Blvd. Suite 2130, Columbus, OH 43220

RIA

CRD#: 30933

Columbus, OH

Past

November 24, 2010 - October 17, 2022

OMNI FINANCIAL SECURITIES, INC.

CRD#: 29320

COLUMBUS, OH

Past

June 30, 2006 - November 2, 2010

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

COLUMBUS, OH

Past

June 30, 2006 - November 2, 2010

FSC SECURITIES CORPORATION

CRD#: 7461

COLUMBUS, OH

Past

October 18, 1999 - June 29, 2006

CARILLON INVESTMENTS, INC.

RIA

CRD#: 14646

WORTHINGTON, OH

Past

June 4, 1998 - June 29, 2006

CARILLON INVESTMENTS, INC.

CRD#: 14646

WORTHINGTON, OH

Past

September 7, 1989 - June 4, 1998

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

September 28, 1988 - January 3, 1989

LINCOLN NATIONAL PENSION INSURANCE COMPANY

CRD#: 10293

Past

September 28, 1988 - June 4, 1998

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

Past

September 23, 1988 - September 5, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

March 3, 1987 - September 2, 1988

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

Past

June 16, 1986 - September 5, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

May 9, 1986 - February 18, 1987

OSAIC FA, INC.

CRD#: 3978

Past

May 9, 1986 - June 4, 1998

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

May 8, 1986 - February 10, 1987

LINCOLN NATIONAL PENSION INSURANCE COMPANY

CRD#: 10293

Past

May 14, 1984 - June 20, 1986

NEW ENGLAND SECURITIES

CRD#: 615

Past

August 3, 1983 - May 10, 1984

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

Past

February 16, 1983 - July 29, 1983

FSC SECURITIES CORPORATION

CRD#: 7461

Past

August 20, 1982 - February 25, 1983

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

Ohio
(2/14/2003)

Ohio
(10/11/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/27/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/27/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/19/1982

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TRICORD WEALTH ADVISORS

FINANCIAL MANAGEMENT CONSULTANTS, INC. | TRICORD WEALTH ADVISORS

CRD#: 119921 / SEC#:

Ohio

Registered Investment Advisory firm - (11/4/1999 Approved)

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Contact information

Main Address

5000 Arlington Centre Blvd. Suite 7162, Columbus, OH 43220

Mailing Address

Phone number

(614) 436-1658

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	83
AUM (Assets Under Management)	$ 6,390,483

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Joseph D. Finneran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Daniel Finneran's CRS (Customer Relationship Summary).

Certified licenses

Experience

WORLD CHOICE SECURITIES, INC.

OMNI FINANCIAL SECURITIES, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

CARILLON INVESTMENTS, INC.

CARILLON INVESTMENTS, INC.

OSAIC FA, INC.

LINCOLN NATIONAL PENSION INSURANCE COMPANY

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

INTEGRATED RESOURCES EQUITY CORPORATION

KEOGLER, MORGAN & COMPANY, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

LINCOLN NATIONAL PENSION INSURANCE COMPANY

NEW ENGLAND SECURITIES

GREEN HILL FINANCIAL SERVICE CORPORATION

FSC SECURITIES CORPORATION

AMERICAN GENERAL EQUITY SERVICES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 9/27/1999

Series 63

Date: 5/27/1983

SIE

Date: 10/1/2018

Series 7

Date: 3/19/1983

Series 6

Date: 8/19/1982

FINRA

Current Firm

TRICORD WEALTH ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TRICORD WEALTH ADVISORS

TRUST BUT VERIFY

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