Robert A. Finley
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.
Robert Arthur Finley, who also goes by Robert Arthur Finley Jr, Robert Finley Jr, Robert Finley, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1995. Robert had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2019 - May 21, 2020
LION STREET FINANCIAL, LLC
April 6, 2015 - June 29, 2017
BIC DISTRIBUTORS, LLC
February 7, 2014 - November 5, 2014
REGAL INVESTMENT ADVISORS LLC
May 4, 2012 - May 15, 2012
AMERICAN CENTURY ADVISORY SERVICES, INC.
May 4, 2012 - January 29, 2014
AMERICAN CENTURY INVESTMENT SERVICES INC.
April 27, 2010 - April 18, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
February 15, 2010 - April 18, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 3, 2005 - December 21, 2009
JANUS HENDERSON DISTRIBUTORS US LLC
February 1, 2005 - April 20, 2005
NYLIFE DISTRIBUTORS LLC
January 15, 2005 - April 20, 2005
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
April 29, 2004 - December 31, 2004
BERKELEY CAPITAL MANAGEMENT LLC
March 27, 2002 - August 21, 2003
UBS ASSET MANAGEMENT (US) INC.
March 21, 2001 - August 21, 2003
UBS ASSET MANAGEMENT (US) INC.
March 25, 1999 - October 23, 2000
ORBITEX FUNDS DISTRIBUTOR, INC.
August 27, 1998 - April 21, 1999
NORTHSTAR SECURITIES, INC.
January 11, 1996 - December 9, 1998
DOMINION CAPITAL CORPORATION
January 24, 1995 - March 19, 1996
PFS INVESTMENTS 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
Current Firm
LION STREET FINANCIAL, LLC
CRD#: 165828 / SEC#: , 8-69183
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
