Joseph P. Finn
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.
Joseph Patrick Finn, who also goes by Joe Finn, Joseph P Finn, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 26, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2020 - April 6, 2023
GOLDMAN SACHS & CO. LLC
December 20, 2016 - January 18, 2019
PERSHING ADVISOR SOLUTIONS LLC
January 30, 2016 - April 7, 2016
SPOUTING ROCK CAPITAL ADVISORS, LLC
January 27, 2015 - December 7, 2015
DONEGAL SECURITIES, INC.
June 4, 2010 - July 24, 2012
LPL FINANCIAL LLC
January 8, 2009 - May 25, 2010
CHARLES SCHWAB & CO., INC.
July 27, 1995 - December 12, 2008
FIDELITY BROKERAGE SERVICES LLC
April 25, 1994 - July 21, 1995
GUARANTY BROKERAGE SERVICES, INC.
May 29, 1991 - May 7, 1994
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
July 21, 1987 - November 6, 1989
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
GOLDMAN SACHS & CO. LLC
CRD#: 361 / SEC#: 801-16048, 8-129
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
Current Firm
GOLDMAN SACHS & CO. LLC
CRD#: 361 / SEC#: 801-16048, 8-129
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GOLDMAN SACHS GROUP, INC. | CLASS A MEMBER | |
| COLEMAN, DENIS PATRICK III | MANAGING DIRECTOR, MANAGER | 2782373 |
| DOYLE, BRIAN RICHARD | MANAGING DIRECTOR, CFO | 6003685 |
| GREEFF, BRIAN MICHAEL | CO-PRINCIPAL OPERATIONS OFFICER | 4273392 |
| MATTHIAS, THOMAS FAIRBANKS | CHIEF COMPLIANCE OFFICER | 2872690 |
| MCCASKILL, MARK | MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 3272131 |
| RUEMMLER, KATHRYN HELEN | MANAGING DIRECTOR, CLO, MANAGER | 7250761 |
| SOLOMON, DAVID MICHAEL | MANAGING DIRECTOR, MANAGER | 1616414 |
| VENEZIA, CARMINE ANTHONY | CHIEF COMPLIANCE OFFICER | 4117304 |
| WALDRON, JOHN EDWARD | MANAGING DIRECTOR, CEO, MANAGER | 2569337 |
Regulatory assets under management
| Total Number of Accounts | 42,138 |
| AUM (Assets Under Management) | $ 233,155,693,023 |
Disclosures
| Regulatory Event | 409 |
| Civil Event | 4 |
| Arbitration | 20 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 09/25/2024 | ||
| 11/17/2023 | ||
| 01/26/2023 |
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.
