Stephen F. Finnegan
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.
Stephen F Finnegan, who also goes by Stephen Francis Finnegan, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 10 firms and has passed the Series 66, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2012 - October 24, 2013
NATIONAL SECURITIES CORPORATION
May 20, 2008 - November 1, 2012
EDWARD JONES
May 19, 2008 - November 1, 2012
EDWARD JONES
February 17, 2006 - May 4, 2006
AMFIN INVESTMENT SERVICES, INC.
May 11, 2004 - March 2, 2006
QA3 FINANCIAL CORP.
January 16, 2004 - May 10, 2004
MML INVESTORS SERVICES, LLC
July 27, 2001 - December 19, 2003
UBS FINANCIAL SERVICES INC.
July 27, 2001 - December 19, 2003
UBS FINANCIAL SERVICES INC.
August 9, 2000 - July 26, 2001
CINCINNATI ANALYSTS, INC.
December 1, 1997 - August 17, 2000
CAPITAL BROKERAGE CORPORATION
January 23, 1997 - December 1, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
January 26, 1994 - December 31, 1996
CINCINNATI ANALYSTS, INC.
July 5, 1990 - January 3, 1994
NEW ENGLAND SECURITIES
November 16, 1983 - January 27, 1990
NEW ENGLAND SECURITIES
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
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
