Finley J. Mcdonald
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.
Finley Joseph Mcdonald was a registered financial professional .
Finley is a previously registered financial professional and started their career in finance in 1984. Finley had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 1995 - December 31, 1995
FIRST ASSOCIATED SECURITIES GROUP, INC.
January 28, 1993 - February 13, 1995
CONSOLIDATED INVESTMENT SERVICES, INC.
July 3, 1989 - February 3, 1993
FIRST HERITAGE INVESTMENT CO.
August 23, 1984 - July 18, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST ASSOCIATED SECURITIES GROUP, INC.
CRD#: 20597 / SEC#: , 8-38276
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
