Mary Y. 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.
Mary Yanda Finnegan, who also goes by Mary Yanda Elizabeth, Mary Elizabeth Yanda, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1984. Mary had worked at 5 firms and has passed the Series 63, SIE 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
March 6, 2015 - November 22, 2016
REGULUS FINANCIAL GROUP, LLC
April 14, 2010 - December 31, 2014
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
October 31, 2005 - March 24, 2010
OSAIC SERVICES, INC.
December 9, 1998 - October 31, 2005
SUNAMERICA SECURITIES, INC.
October 31, 1984 - October 24, 1990
THE GREAT-WEST LIFE ASSURANCE COMPANY
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
REGULUS FINANCIAL GROUP, LLC
CRD#: 150631 / SEC#: , 8-68275
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 5 |
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.
