Michael F. Finnen
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.
Michael Francis Finnen JR, who also goes by (jr) Michael Francis Finnen, Michael F Finnen Jr, Michael F Finnen, Michael Francis Finnen, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 15 firms and has passed the Series 63, SIE, Series 25, Series 7, Series 14, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2020 - September 14, 2021
TULLETT PREBON FINANCIAL SERVICES LLC
April 26, 2016 - May 28, 2020
WALL STREET ACCESS
March 30, 2016 - May 16, 2016
CLANCY FINANCIAL SERVICES, INC.
March 18, 2016 - May 4, 2016
DERMOTT W. CLANCY CORP.
May 1, 2012 - March 9, 2016
WALL STREET ACCESS
August 25, 2011 - May 1, 2012
FERRETTI GROUP, INC.
July 11, 2011 - October 13, 2011
ALTRUSHARE SECURITIES LLC
October 2, 2008 - July 2, 2009
PACIFIC AMERICAN SECURITIES, LLC
October 8, 2007 - August 25, 2011
LOMBARDI & CO., INC.
April 20, 2006 - November 6, 2007
BATTENKILL CAPITAL, INC.
August 31, 2004 - March 24, 2006
RAYMOND C. FORBES & CO., INC.
July 27, 1998 - September 8, 2004
NATIXIS SECURITIES AMERICAS LLC
October 17, 1997 - June 23, 2004
TIJA MANAGEMENT, INC.
March 10, 1995 - October 10, 1997
TIJA MANAGEMENT, INC.
April 22, 1993 - March 30, 1995
FIRST OPTIONS OF CHICAGO, INC.
December 4, 1991 - April 8, 1993
LABRANCHE FINANCIAL SERVICES, LLC
July 5, 1991 - December 11, 1991
ADLER COLEMAN & CO., INC.
June 6, 1990 - February 22, 1991
ADLER COLEMAN & CO., INC.
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 25
Date: 3/28/2005
NYSE Trading Assistant ExaminationSeries 12
Date: 7/1/1996
NYSE Branch Manager ExaminationCurrent Firm
TULLETT PREBON FINANCIAL SERVICES LLC
CRD#: 28196 / SEC#: , 8-43487
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 17 |
Red Flags
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