Evan M. Finkelstein

HENLEY & COMPANY LLC

JENKINTOWN, PA 19046

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CRD#: 1676350

Professional summary

Evan Marc Finkelstein, who also goes by Evan M Finkelstein, is a registered financial professional currently at HENLEY & COMPANY LLC located in Jenkintown, Pennsylvania.

Evan is registered as a RR (Registered Representative) and started their career in finance in 1988. Evan has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Evan M Finkelstein

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 Evan Marc Finkelstein'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

May 17, 2019 - Present

HENLEY & COMPANY LLC

Office #1: 101 Greenwood Avenue Suite 620, Jenkintown, PA 19046

CRD#: 131453

JENKINTOWN, PA

Past

November 30, 2018 - May 24, 2019

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Jenkintown, PA

Past

February 24, 1994 - November 30, 2018

PHILADELPHIA INVESTORS, LTD.

CRD#: 23905

PHILADELPHIA, PA

Past

January 23, 1990 - February 18, 1994

GAIN SECURITIES

CRD#: 16203

BEDMINSTER, NJ

Past

July 7, 1988 - August 26, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 31, 1988 - January 12, 1990

FITZGERALD, DEARMAN & ROBERTS, INC.

CRD#: 317

Past

January 20, 1988 - February 23, 1988

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

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

California
(5/17/2019)

Connecticut
(5/17/2019)

Florida
(5/17/2019)

Maine
(11/12/2020)

Maryland
(5/17/2019)

Massachusetts
(5/17/2019)

New Jersey
(5/17/2019)

New York
(5/17/2019)

Pennsylvania
(5/17/2019)

Exams

State Security Law Exam

Series 63

Date: 10/26/1987

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: 1/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/26/1998

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/25/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HENLEY & COMPANY LLC

CRD#: 131453 / SEC#: , 8-66463

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

506 Rxr Plaza, Uniondale, NY 11556

Mailing Address

506 Rxr Plaza, Uniondale, NY 11556

Phone number

(516) 794-5520

Established

New York since 03/30/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GEMINO, FRANCIS PATRICK	PRESIDENT; CEO; MANAGING MEMBER	219616
ALBANESE, JAMES JOSEPH	SENIOR VICE PRESIDENT, ROSFP	1699997
FORTINO, ROBERT ANTHONY	FINOP	1905741
GERMANO-ALESSI, MARIA TERESA	CHIEF COMPLIANCE OFFICER	4404986
LADERER, MICHAEL JOHN	MANAGING DIRECTOR	1436877

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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Advisor Monitoring

Firm Stability Insights

Evan M. Finkelstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Evan Marc Finkelstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

PHILADELPHIA INVESTORS, LTD.

GAIN SECURITIES

MORGAN STANLEY DW INC.

FITZGERALD, DEARMAN & ROBERTS, INC.

BLINDER, ROBINSON & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/26/1987

SIE

Date: 10/1/2018

Series 7

Date: 1/16/1988

Series 4

Date: 2/26/1998

Series 24

Date: 6/25/1997

FINRA

Current Firm

HENLEY & COMPANY LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HENLEY & COMPANY LLC

TRUST BUT VERIFY

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