Patrick T. Finnerty
Professional summary
Patrick Thomas Finnerty is a registered financial professional currently at GCMI SECURITIES CORP. located in Irvine, California.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 1982. Patrick has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patrick Thomas Finnerty's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 1, 2006 - Present
GCMI SECURITIES CORP.
Office #1: 19200 Von Karman Avenue Suite 210, Irvine, CA 92612March 23, 1992 - June 10, 1993
MORGAN STANLEY & CO. LLC
November 7, 1988 - January 15, 1992
UBS FINANCIAL SERVICES INC.
January 6, 1987 - November 16, 1988
J.P. MORGAN SECURITIES LLC
July 9, 1985 - December 22, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
April 27, 1985 - July 30, 1985
JESUP & LAMONT SECURITIES CO., INC.
October 21, 1982 - December 31, 1984
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/27/2006)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationFINRA
Current Firm
GCMI SECURITIES CORP.
CRD#: 139520 / SEC#: , 8-67225
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
