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JF

John J. Finn

RAINBRIDGE SECURITIES LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 4824608
JF

Professional summary

John Joseph Finn III, who also goes by John Joseph Finn III, is a registered financial professional currently at RAINBRIDGE SECURITIES LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 2004. John has worked at 7 firms and has passed the Series 63, Series 66, Series 3, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Joseph Finn Iii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Joseph Finn III's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 2, 2026 - Present

RAINBRIDGE SECURITIES LLC

Office #1: 485 Madison Avenue 15th Floor, New York, NY 10022
BD
CRD#: 334916
NEW YORK, NY
Past

September 21, 2022 - January 16, 2026

JONESTRADING

BD
CRD#: 6888
Stamford, CT
Past

March 29, 2018 - September 20, 2022

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
ROWAYTON, CT
Past

July 9, 2013 - March 29, 2018

EATON PARTNERS, LLC

BD
CRD#: 31170
ROWAYTON, CT
Past

December 22, 2012 - July 12, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

July 21, 2006 - March 25, 2008

J.P. MORGAN CLEARING CORP.

BD
CRD#: 28432
BROOKLYN, NY
Past

July 21, 2006 - March 25, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
BROOKLYN, NY
Past

August 23, 2004 - July 13, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(2/24/2026)
RR
New York
(1/2/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 2/15/2013
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/29/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 11/17/2022
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/21/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/30/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RS
RAINBRIDGE SECURITIES LLC
RAINBRIDGE SECURITIES LLC

CRD#: 334916 / SEC#: , 8-71373

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
485 Madison Avenue 15th Floor, New York, NY, 10022
Mailing Address
485 Madison Avenue 15th Floor, New York, NY, 10022
Phone number
(212) 751-4422
Established
New York since 09/11/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
RAINBRIDGE HOLDINGS LLCSOLE MEMBER
CHAN, STANLEYCHIEF COMPLIANCE OFFICER4184811
FORTINO, ANGELINAFINOP, PFO, POO6869135
STEINBERG, MICHAEL NMNCHIEF EXECUTIVE OFFICER1062776

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.

Company Information

RAINBRIDGE SECURITIES LLC

CRD#: 334916New York, NY 10022

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