Peter A. Finnegan

HUNTWICKE SECURITIES

HANOVER, MA

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CRD#: 1336798

Professional summary

Peter Alexander Finnegan is a registered financial professional currently at HUNTWICKE SECURITIES, LLC located in Hanover, Massachusetts.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1985. Peter has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter Alexander Finnegan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 22, 2010 - Present

HUNTWICKE SECURITIES, LLC

CRD#: 146993

HANOVER, MA

Past

September 9, 2009 - December 6, 2010

STEVEN L. FALK & ASSOCIATES INC.

CRD#: 14297

LAS VEGAS, NV

Past

December 26, 2008 - September 10, 2009

SECURITIES AMERICA, INC.

CRD#: 10205

HANOVER, MA

Past

March 20, 2007 - December 31, 2008

EPLANNING SECURITIES, INC.

CRD#: 46000

HANOVER, MA

Past

January 30, 2006 - March 22, 2007

MERIDIAN CAPITAL PARTNERS, LLC

CRD#: 132192

QUINCY, MA

Past

January 21, 2000 - January 30, 2006

MERIDIAN INVESTMENTS, INC.

CRD#: 13225

VIENNA, VA

Past

May 6, 1998 - June 8, 1999

STONEGATE PARTNERS, LLC

CRD#: 43034

WAKEFIELD, MA

Past

January 25, 1996 - April 29, 1998

SATURN CAPITAL, INC.

CRD#: 15412

ST. PETERSBURG, FL

Past

January 29, 1985 - February 9, 1994

WINTHROP SECURITIES CO., INC.

CRD#: 6925

BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/14/2013)

California
(2/10/2012)

Colorado
(1/25/2011)

Connecticut
(9/16/2015)

Florida
(12/22/2010)

Illinois
(11/17/2022)

Maine
(1/28/2013)

Maryland
(2/10/2012)

Massachusetts
(12/22/2010)

Nevada
(1/23/2023)

New Hampshire
(2/18/2011)

New Jersey
(9/16/2015)

New Mexico
(6/23/2020)

New York
(5/12/2014)

Ohio
(11/17/2022)

Oregon
(1/29/2025)

Rhode Island
(3/30/2022)

Virginia
(1/29/2013)

Exams

State Security Law Exam

Series 63

Date: 1/24/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/19/1985

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HUNTWICKE SECURITIES, LLC

HUNTWICKE SECURITIES, LLC | PHALANX TRADING, LLC

CRD#: 146993 / SEC#: , 8-67865

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

7 Grove Street Suite 201, Topsfield, MA 01983

Mailing Address

7 Grove Street Suite 201, Topsfield, MA 01983

Phone number

(978) 887-5981

Established

Massachusetts since 02/11/2008

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (21 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HUNTWICKE FINANCIAL LLC (F/K/A PHALANX PARTNERS LLC)	OWNER
DORFMAN FOSTER, ESTEE	FINOP	2696529
GARCIA, FERNANDO MARIO	COMPLIANCE OFFICER	6161322
WOODLAND, BRIAN ANDREW	PRESIDENT/CEO/CCO	2263508

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.

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Peter A. Finnegan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter Alexander Finnegan's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEVEN L. FALK & ASSOCIATES INC.

SECURITIES AMERICA, INC.

EPLANNING SECURITIES, INC.

MERIDIAN CAPITAL PARTNERS, LLC

MERIDIAN INVESTMENTS, INC.

STONEGATE PARTNERS, LLC

SATURN CAPITAL, INC.

WINTHROP SECURITIES CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/24/1985

SIE

Date: 10/1/2018

Series 7

Date: 1/19/1985

FINRA

Current Firm

HUNTWICKE SECURITIES, LLC

Contact information

FINRA licenses (21 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HUNTWICKE SECURITIES, LLC

TRUST BUT VERIFY

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