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AF

Andrew J. Finnegan

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CRD#: 1398403
AF

Professional summary

Andrew James Finnegan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Andrew is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Andrew had worked at 6 firms, which includes GRUNTAL & CO. L.L.C., PHILADELPHIA BROKERAGE CORPORATION, TUCKER ANTHONY INCORPORATED, ALEX. BROWN & SONS INCORPORATED, MORGAN STANLEY DW INC., BUTCHER & SINGER INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 28, 1998 - December 23, 1998

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

June 5, 1997 - September 10, 1997

PHILADELPHIA BROKERAGE CORPORATION

BD
CRD#: 25534
RADNOR, PA
Past

November 27, 1992 - April 16, 1997

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

March 26, 1991 - December 2, 1992

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20
Past

May 3, 1988 - March 27, 1991

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

November 20, 1985 - May 12, 1988

BUTCHER & SINGER INC.

BD
CRD#: 6517

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/12/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/11/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/16/1985
General Securities Representative Examination

Current Firm

G&
GRUNTAL & CO., L.L.C.
GLOBAL ASSET MANAGEMENT | PROFESSIONAL ASSET MANAGEMENT | GRUNTAL MANAGED ACCOUNTS | GRUNTAL FOCUS ADVISORS | GRUNTAL & CO., L.L.C. | GRUNTAL & CO. INCORPORATED | GRUNTAL & CO.

CRD#: 372 / SEC#: , 8-31022

BD
Terminated by SEC on 07/21/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/04/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GRUNTAL FINANCIAL, L.L.C.INTEREST HOLDER
BRADLEY, RALPH HAMILTON JRDIRECTOR, EXECUTIVE VICE PRESIDENT2802958
COHEN, DONALD NEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY
JOHNSON, ROSEMARYDIRECTOR, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER1515631
RITTEREISER, ROBERT PETERDIRECTOR, CHAIRMAN, CEO400305

Disclosures

Regulatory Event34
Arbitration81
Bond2

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.

Company Information

GRUNTAL & CO., L.L.C.

CRD#: 372

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