Thomas P. Finnerty

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CRD#: 208051

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.

Thomas Peter Finnerty was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 11 firms and has passed the Series 55, PC, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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

November 2, 2012 - July 22, 2013

J.P. MORGAN SECURITIES LLC

CRD#: 79

BOONTON, NJ

Past

December 16, 2011 - August 2, 2012

QUASAR TRADING, LLC

CRD#: 151974

SAN JUAN, PR

Past

August 16, 2006 - March 14, 2011

DOMESTIC SECURITIES, INC.

CRD#: 34721

EDISON, NJ

Past

February 27, 2006 - June 28, 2006

HUDSON SECURITIES,INC.

CRD#: 10467

JERSEY CITY, NJ

Past

November 18, 2004 - October 3, 2005

PARK FINANCIAL GROUP, INC.

CRD#: 30582

MAITLAND, FL

Past

August 19, 2003 - June 7, 2004

FULCRUM GLOBAL PARTNERS LLC

CRD#: 104455

NEW YORK, NY

Past

September 23, 2002 - August 12, 2003

S. B. CANTOR & CO., INC.

CRD#: 1384

NEW YORK, NY

Past

September 17, 1979 - April 26, 2002

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 18, 1978 - September 17, 1979

LOEB PARTNERS

CRD#: 7534

Past

January 4, 1977 - January 18, 1978

LOEB RHOADES & CO. INC.

CRD#: 7502

Past

November 12, 1970 - January 4, 1977

LOEB, RHOADES & CO. INC.

CRD#: 525

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

J.P. MORGAN SECURITIES LLC

CRD#: 79 / SEC#: 801-3702, 8-35008

RIA

Registered Investment Advisory firm - SEC (4/3/1965 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 55

Date: 6/29/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

PC

Date: 9/7/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 11/9/1970

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/24/1989

General Securities Principal Examination

Current Firm

J.P. MORGAN SECURITIES LLC

CRD#: 79 / SEC#: 801-3702, 8-35008

RIA

Registered Investment Advisory firm - SEC (4/3/1965 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

270 Park Avenue, New York, NY 10017

Mailing Address

1111 Polaris Pkwy Floor 3f, Columbus, OH 43240

Phone number

(212) 272-2000

Established

Delaware since 08/12/1985

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

8,327

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM BROCHURE (CWM) (11/5/2025)

DEFINED CONTRIBUTION PLAN CONSULTING SERVICES PROGRAM BROCHURE (11/5/2025)

FORM ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM BROCHURE J.P. MORGAN MANAGED INVESTMENT SERVICES PROGRAM (11/5/2025)

WRAP FEE PROGRAM BROCHURE (JPMA) (11/5/2025)

J.P. MORGAN PERSONAL ADVISORS PROGRAM (11/5/2025)

JPMORGAN GUIDED ANNUITY PROGRAM (11/5/2025)

Direct owners and executive officers

Name	Position	CRD#
J.P. MORGAN BROKER-DEALER HOLDINGS INC.	MEMBER
AIDELSON, DAVID	CHIEF LEGAL OFFICER	7884539
ALAOUI ABDALLAOUI, RACHID	CEO, CHAIR, ELECTED MANAGER	7122597
BISESI, BRIAN J	ELECTED MANAGER	3090554
CHOI, MICHAEL	CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER	6597789
COLLINS, JAMES MICHAEL	CHIEF FINANCIAL OFFICER	2725065
DEMPSEY, PATRICK PAUL	TREASURER	2830362
ENGLANDER, ADAM F	ELECTED MANAGER	2941059
FOLEY, KEVIN J	ELECTED MANAGER	4012244
KLION, ROGER	CHIEF OPERATING OFFICER	5082261
MCCRUM, CARRIE	ELECTED MANAGER	7675791
SABLE, MATTHEW D	ELECTED MANAGER	4835849
TEPPER, ERIC D.	ELECTED MANAGER	2242377
VIENICK, PAUL	ELECTED MANAGER	2212982
VILLWOCK, DAVID S	CHIEF COMPLIANCE OFFICER - BROKER DEALER	8071637

Regulatory assets under management

Total Number of Accounts	1,055,400
AUM (Assets Under Management)	$ 352,605,441,286

Disclosures

Regulatory Event	392
Civil Event	9
Arbitration	143

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2025	Cover Page	Report
10/25/2024	Cover Page	Report
11/27/2023	Cover Page	Report
01/03/2023	Cover Page	Report

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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Firm Stability Insights

Thomas P. Finnerty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

QUASAR TRADING, LLC

DOMESTIC SECURITIES, INC.

HUDSON SECURITIES,INC.

PARK FINANCIAL GROUP, INC.

FULCRUM GLOBAL PARTNERS LLC

S. B. CANTOR & CO., INC.

LEHMAN BROTHERS INC.

LOEB PARTNERS

LOEB RHOADES & CO. INC.

LOEB, RHOADES & CO. INC.

Primary Firm SEC Registration

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 55

Date: 6/29/1999

PC

Date: 9/7/1977

Series 1

Date: 11/9/1970

Series 24

Date: 5/24/1989

Current Firm

J.P. MORGAN SECURITIES LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

J.P. MORGAN SECURITIES LLC

TRUST BUT VERIFY

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