Harold M. Finnegan
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.
Harold Moore Finnegan, who also goes by Hal Finnegan, Harold M. Finnegan, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1994. Harold had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2014 - August 7, 2015
SP SECURITIES LLC
April 20, 2011 - December 31, 2012
SP SECURITIES LLC
March 4, 2005 - May 13, 2009
UBS FINANCIAL SERVICES INC.
January 19, 2005 - May 13, 2009
UBS FINANCIAL SERVICES INC.
August 28, 1998 - March 1, 2005
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
October 12, 1995 - August 12, 1998
HAMILTON CLARK SUSTAINABLE CAPITAL, INC.
September 9, 1994 - September 5, 1995
CAPNET SECURITIES CORPORATION
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
SP SECURITIES LLC
CRD#: 130560 / SEC#: , 8-66360
Contact information
FINRA licenses (15 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAGE PARTNERS LTD. | SOLE MEMBER | |
| BINET, TODD M. | MANAGER, REGISTERED PRINCIPAL | |
| MILLER, DAVID SUTTON | MANAGER, REGISTERED PRINCIPAL | 2097046 |
| MORIN, PETER B. | MANAGER, REGISTERED PRINCIPAL | |
| WALTON, H. STEVEN | MANAGER, REGISTERED PRINCIPAL | |
| WILSON, WILLIAM HOWARD JR | MANAGER, REGISTERED PRINCIPAL, AML PRINCIPAL | |
| WILSON, WILLIAM HOWARD JR | DESIGNATED PRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER | 1430161 |
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.
