Justin L. Finney
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.
Justin Lee Finney was a registered financial professional .
Justin is a previously registered financial professional and started their career in finance in 1999. Justin had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24 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
September 18, 2015 - June 14, 2016
CLEARWATER TRADING GP, LLC
February 28, 2012 - December 31, 2012
CETERA ADVISORS LLC
February 28, 2012 - December 31, 2012
CETERA ADVISORS LLC
September 27, 2011 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
September 27, 2011 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
January 17, 2006 - October 11, 2011
LPL FINANCIAL LLC
January 17, 2006 - October 11, 2011
LPL FINANCIAL LLC
June 6, 2005 - January 18, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 4, 2000 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
July 12, 1999 - January 18, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CLEARWATER TRADING GP, LLC
CRD#: 166708 / SEC#:
Contact information
Red Flags
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