Dennis M. Finneran
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.
Dennis Michael Finneran was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1974. Dennis had worked at 26 firms and has passed the Series 65, Series 63, Series 3, PC, Series 1, Series 28, Series 14, Series 24, Series 53 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2013 - October 13, 2020
HERSHEY FINANCIAL ADVISERS, LLC
March 4, 2010 - November 20, 2012
LEIGH BALDWIN & CO., LLC
June 2, 2004 - January 13, 2010
WATER TOWER SECURITIES, LLC
March 25, 2004 - March 5, 2010
GUZMAN & COMPANY
December 15, 2000 - March 5, 2010
GUZMAN & COMPANY
October 23, 2000 - December 20, 2000
MM ASCEND LIFE INVESTOR SERVICES, LLC
September 11, 1998 - October 24, 2000
PRINCIPAL SECURITIES, INC.
July 1, 1996 - September 17, 1998
WILLIAM R. HOUGH & CO.
November 9, 1995 - July 10, 1996
GUZMAN & COMPANY
January 6, 1994 - January 20, 1995
LEHMAN BROTHERS INC.
July 6, 1992 - January 6, 1994
UBS FINANCIAL SERVICES INC.
January 23, 1991 - July 14, 1992
SHAY GOVERNMENT SECURITIES CO.
January 23, 1991 - July 14, 1992
SHAY FINANCIAL SERVICES CO.
July 27, 1990 - January 8, 1991
A. G. EDWARDS & SONS, INC.
January 5, 1990 - August 9, 1990
MORGAN STANLEY DW INC.
July 20, 1989 - January 9, 1990
BARNETT INVESTMENTS, INC.
July 7, 1988 - June 30, 1989
KIDDER, PEABODY & CO. INCORPORATED
January 7, 1988 - July 19, 1988
AMERIFIRST SECURITIES CORPORATION
September 11, 1980 - January 6, 1988
DOMIK CORP.
November 19, 1979 - October 3, 1980
JW GENESIS CLEARING CORP.
July 11, 1979 - December 6, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 13, 1978 - August 27, 1979
THOMSON MCKINNON SECURITIES INC.
March 22, 1978 - November 13, 1978
CITIGROUP GLOBAL MARKETS INC.
September 13, 1976 - April 1, 1978
A. G. BECKER MUNICIPAL SECURITIES INCORPORATED
November 12, 1975 - September 7, 1976
REYNOLDS SECURITIES, INC.
June 25, 1975 - November 23, 1975
DREXEL BURNHAM LAMBERT INCORPORATED
December 24, 1974 - May 31, 1975
A G BECKER & CO INCORPORATED
December 24, 1974 - June 29, 1975
A. G. BECKER MUNICIPAL SECURITIES INCORPORATED
July 15, 1974 - November 25, 1975
A G BECKER & CO
Primary Firm SEC Registration
HERSHEY FINANCIAL ADVISERS, LLC
CRD#: 149907 / SEC#: 801-128090
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
PC
Date: 9/10/1980
AMEX Put and Call ExamSeries 1
Date: 12/14/1966
Registered Representative ExaminationSeries 28
Date: 1/21/2003
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 7/31/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HERSHEY FINANCIAL ADVISERS, LLC
CRD#: 149907 / SEC#: 801-128090
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 991 |
| AUM (Assets Under Management) | $ 139,268,500 |
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.
