Joseph P. Finnerty
Professional summary
Joseph Patrick Finnerty, who also goes by Joseph P Finnerty, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Uniondale, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1984. Joseph has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Patrick Finnerty's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2018 - Present
NYLIFE SECURITIES LLC
Office #1: 333 Earle Ovington Blvd. Suite 505, Uniondale, NY 11553July 13, 2016 - September 5, 2017
WHITAKER SECURITIES LLC
October 3, 2014 - July 12, 2016
LPS CAPITAL LLC
July 6, 2006 - July 10, 2014
BGC FINANCIAL, L.P.
September 6, 2000 - June 1, 2006
GFI SECURITIES LLC
May 19, 1995 - December 3, 1996
LIBERTY BROKERS
November 9, 1993 - September 19, 2000
TULLETT PREBON FINANCIAL SERVICES LLC
April 30, 1991 - November 2, 1993
CEDAR STREET SECURITIES CORP.
August 21, 1984 - April 30, 1991
MABON, NUGENT & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/10/2023)
(3/6/2018)
(5/1/2024)
Exams
FINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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