Mardi D. Finegan
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.
Mardi Dickson Finegan was a registered financial professional .
Mardi is a previously registered financial professional and started their career in finance in 1983. Mardi had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 14, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2011 - November 2, 2016
BERENBERG CAPITAL MARKETS LLC
April 3, 2000 - March 7, 2011
THOMAS WEISEL PARTNERS LLC
March 4, 1993 - April 13, 2000
CREDIT SUISSE SECURITIES (USA) LLC
October 2, 1986 - August 3, 1990
CREDIT SUISSE SECURITIES (USA) LLC
December 21, 1983 - August 15, 1986
TUCKER ANTHONY INCORPORATED
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
Series 8
Date: 6/28/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BERENBERG CAPITAL MARKETS LLC
CRD#: 156757 / SEC#: , 8-68821
Contact information
FINRA licenses (14 States and Territories)
Documents
Red Flags
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