Kevin G. 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.
Kevin Gerard Finnegan, who also goes by Kevin G Finnegan, Kevin Finnegan, Finnegan Gerard Kevin Gerard, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1985. Kevin had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 15, Series 3, Series 5, Series 7, Series 14, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2014 - May 22, 2019
JEFFERIES LLC
October 21, 2009 - September 30, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 11, 2009 - February 21, 2012
MERRILL LYNCH GOVERNMENT SECURITIES INC.
June 24, 2004 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
January 24, 2001 - December 17, 2001
REPUBLIC NEW YORK SECURITIES CORPORATION
January 27, 1995 - January 1, 1996
JAMES CAPEL INCORPORATED
December 13, 1994 - July 8, 2004
HSBC SECURITIES (USA) INC.
September 2, 1993 - December 8, 1994
INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION
May 7, 1990 - March 11, 1993
CITICORP SECURITIES, INC.
July 23, 1985 - December 12, 1989
CREDIT SUISSE SECURITIES (USA) LLC
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 55
Date: 7/6/2001
Limited Representative-Equity Trader ExamSeries 15
Date: 3/20/1987
Foreign Currency Options ExaminationSeries 5
Date: 6/17/1986
Interest Rate Options ExaminationSeries 8
Date: 4/28/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
JEFFERIES LLC
CRD#: 2347 / SEC#: , 8-15074
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERIES FINANCIAL GROUP INC | DIRECT OWNER | |
| CAGNO, MARK LAWRENCE | GLOBAL CONTROLLER, MANAGING DIRECTOR | 2510148 |
| FISCELLA, MICHAEL EUGENE | GLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR | 2490187 |
| FORLENZA, PETER CHARLES | GLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR | 2366985 |
| FRIEDMAN, BRIAN PAUL | DIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE | 1298550 |
| HANDLER, RICHARD BRIAN | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1563245 |
| LARSON, MATTHEW SCOTT | EXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER | 2605152 |
| SCORAN, LAURI A | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 2060170 |
| SHARP, MICHAEL JAMES | GENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT | 1013864 |
| STACCONI, JOHN FRANCO | TREASURER | 1814227 |
Disclosures
| Regulatory Event | 133 |
| Arbitration | 4 |
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.
