Patrick T. Finnerty
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.
Patrick Thomas Finnerty was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1982. Patrick had worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 5 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2006 - September 21, 2026
GCMI SECURITIES CORP.
March 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
Exams
What does exam status mean?
Series 79TO
Passed: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
GCMI SECURITIES CORP.
CRD#: 139520 / SEC#: , 8-67225
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
