Peter J. Finn
Professional summary
Peter J. Finn, who also goes by Peter John Finn, is a registered financial professional currently at BROWN, GIBBONS, LANG & COMPANY SECURITIES, LLC located in New York, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 2006. Peter has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter J. Finn's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 16, 2023 - Present
BROWN, GIBBONS, LANG & COMPANY SECURITIES, LLC
Office #1: 489 Fifth Avenue 23rd Floor, New York, NY 10017July 15, 2019 - July 17, 2023
COWEN AND COMPANY
September 29, 2015 - May 1, 2019
NOMURA SECURITIES INTERNATIONAL, INC.
October 15, 2012 - June 16, 2015
MACQUARIE CAPITAL (USA) INC.
February 12, 2007 - October 9, 2012
B. RILEY SECURITIES, INC.
January 19, 2006 - February 22, 2007
LEGACY PARTNERS GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/16/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
BROWN, GIBBONS, LANG & COMPANY SECURITIES, LLC
CRD#: 29540 / SEC#: , 8-44816
Contact information
FINRA licenses (14 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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