John K. Finn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Kevin Finn was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 2 firms and has passed the Series 63, Series 7, Series 6, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 1985 - October 3, 1996
THE INVESTMENT FIRM
July 22, 1982 - November 10, 1987
DUBUQUE HOLDING COMPANY
State Registrations and Notice Filings
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Exams
Current Firm
THE INVESTMENT FIRM
CRD#: 16417 / SEC#: , 8-12677
Contact information
Documents
Red Flags
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