Joseph A. Feeney
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.
Joseph Anthony Feeney, who also goes by Joe Feeney, Joseph A Feeney, Joseph Anthony Feeney, Joseph Feeney, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1989. Joseph had worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2020 - April 19, 2024
F/M INVESTMENTS LLC
March 8, 2019 - November 7, 2019
MORGAN STANLEY
February 8, 2019 - November 7, 2019
MORGAN STANLEY
October 8, 2003 - July 30, 2004
SENTINEL FINANCIAL SERVICES COMPANY
May 20, 1999 - January 4, 2002
H.C.WAINWRIGHT & CO., LLC
April 13, 1992 - June 7, 1996
UBS SECURITIES LLC
May 15, 1991 - April 21, 1992
THE CHICAGO CORPORATION
August 22, 1989 - September 21, 1990
FINANCIAL SQUARE PARTNERS
Primary Firm SEC Registration
F/M INVESTMENTS LLC
CRD#: 304405 / SEC#: 801-116853
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 7TO
Date: 2/8/2019
General Securities Representative ExaminationSeries 55
Date: 3/23/2000
Limited Representative-Equity Trader ExamCurrent Firm
F/M INVESTMENTS LLC
CRD#: 304405 / SEC#: 801-116853
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,480 |
| AUM (Assets Under Management) | $ 16,899,434,237 |
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.
