Steven C. Finn
Professional summary
Steven Charles Finn, who also goes by Steve Finn, is a registered financial professional currently at SAMCO CAPITAL MARKETS, INC. located in Dallas, Texas.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1984. Steven has worked at 8 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Charles Finn's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 19, 2006 - Present
SAMCO CAPITAL MARKETS, INC.
Office #1: 1700 Pacific Avenue, Suite 4650, Dallas, TX 75201February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
November 13, 2000 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
May 9, 1995 - November 13, 2000
MORGAN KEEGAN & COMPANY, LLC
September 12, 1989 - May 11, 1995
SERVICE ASSET MANAGEMENT COMPANY
February 4, 1987 - September 14, 1989
HILLTOP SECURITIES INC.
February 12, 1985 - February 18, 1987
THOMSON MCKINNON SECURITIES INC.
May 16, 1984 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, 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
(8/11/2011)
(5/19/2006)
(5/1/2008)
(5/24/2006)
(5/19/2006)
(5/19/2006)
(4/23/2013)
(11/16/2011)
(5/19/2006)
(5/19/2006)
(3/14/2008)
(5/19/2006)
(3/19/2008)
(5/29/2008)
(5/4/2009)
(5/19/2006)
(5/19/2006)
(5/19/2006)
(4/13/2012)
(5/19/2006)
(5/19/2006)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
SAMCO CAPITAL MARKETS, INC.
CRD#: 136532 / SEC#: , 8-67023
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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Company Information
SAMCO CAPITAL MARKETS, INC.
CRD#: 136532Dallas, TX 75201TRUST BUT VERIFY
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