Poppy M. 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.
Poppy M Finley, who also goes by Poppy Michelle Finley, Poppy Finley, Poppy Finley Marable, was a registered financial professional .
Poppy is a previously registered financial professional and started their career in finance in 2000. Poppy had worked at 2 firms and has passed the Series 63, Series 65 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2009 - December 31, 2016
SAYJ INVESTMENT SERVICES, LLC
September 18, 2000 - May 26, 2004
ALLSTATE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SAYJ INVESTMENT SERVICES, LLC
CRD#: 149338 / SEC#:
Contact information
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.
