Michael G. Finamore
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.
Michael Gustave Finamore was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2015 - September 30, 2024
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
March 8, 2013 - November 22, 2013
J.P. MORGAN SECURITIES LLC
May 31, 2007 - December 3, 2012
HSBC SECURITIES (USA) INC.
May 29, 2007 - December 3, 2012
HSBC SECURITIES (USA) INC.
April 11, 2002 - December 31, 2002
CITICORP INVESTMENT SERVICES
March 10, 1997 - March 9, 2007
CITICORP INVESTMENT SERVICES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
CRD#: 130847 / SEC#: , 8-66397
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANDARD CHARTERED HOLDINGS INC. | OWNER | |
| DEFILIPPO, MANDY J | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7184614 |
| HAUSCHILD, AUGUST DANIEL | ANTI MONEY LAUNDERING COMPLIANCE OFFICER | 4287421 |
| JONES, PAUL FAULKNER | CHIEF RISK OFFICER | 7630280 |
| NIELSEN, PETER | FINANCIAL AND OPERATIONS PRINCIPAL | 1072259 |
| PAULIC, JACINTA | CHIEF COMPLIANCE OFFICER, HEAD, CFCC ADVISORY FM AMERICAS | 5823367 |
Red Flags
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