JF
John J. Finn
JONESTRADING
Stamford, CT 06902
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 JONESTRADING located in Stamford, Connecticut.
John is registered as a RR (Registered Representative) and started their career in finance in 2004. John has worked at 6 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.
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®
NoneExperience
Current
September 21, 2022 - Present
JONESTRADING
Office #1: 46 Southfield Ave Harbor Landing Suite 300, Stamford, CT 06902BD
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
Alabama(9/21/2022)
RR
Alaska(9/21/2022)
RR
Arizona(9/21/2022)
RR
Arkansas(9/21/2022)
RR
California(9/21/2022)
RR
Colorado(9/21/2022)
RR
Connecticut(9/21/2022)
RR
Delaware(9/21/2022)
RR
District of Columbia(9/21/2022)
RR
Florida(9/21/2022)
RR
Georgia(9/21/2022)
RR
Hawaii(9/21/2022)
RR
Idaho(9/21/2022)
RR
Illinois(9/21/2022)
RR
Indiana(9/21/2022)
RR
Iowa(9/21/2022)
RR
Kansas(9/21/2022)
RR
Kentucky(9/21/2022)
RR
Louisiana(9/21/2022)
RR
Maine(9/21/2022)
RR
Maryland(9/21/2022)
RR
Massachusetts(9/21/2022)
RR
Michigan(9/21/2022)
RR
Minnesota(9/21/2022)
RR
Mississippi(9/21/2022)
RR
Missouri(9/21/2022)
RR
Montana(9/21/2022)
RR
Nebraska(9/21/2022)
RR
Nevada(9/21/2022)
RR
New Hampshire(9/21/2022)
RR
New Jersey(9/21/2022)
RR
New Mexico(9/21/2022)
RR
New York(9/21/2022)
RR
North Carolina(9/21/2022)
RR
North Dakota(9/21/2022)
RR
Ohio(9/28/2022)
RR
Oklahoma(9/21/2022)
RR
Oregon(9/21/2022)
RR
Pennsylvania(9/21/2022)
RR
Puerto Rico(9/21/2022)
RR
Rhode Island(9/21/2022)
RR
South Carolina(9/21/2022)
RR
South Dakota(9/21/2022)
RR
Tennessee(9/21/2022)
RR
Texas(9/21/2022)
RR
Utah(9/21/2022)
RR
Vermont(9/21/2022)
RR
Virgin Islands(9/21/2022)
RR
Virginia(9/21/2022)
RR
Washington(9/21/2022)
RR
West Virginia(9/21/2022)
RR
Wisconsin(9/21/2022)
RR
Wyoming(9/21/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
JO
JONESTRADING
JONES & ASSOCIATES, INC. | JONESTRADING INSTITUTIONAL SERVICES LLC | JONESTRADING | JONES INSTITUTIONAL TRADING SERVICES, INC.
CRD#: 6888 / SEC#: , 8-26089
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
555 Saint Charles Drive Suite #200, Thousand Oaks, CA 91360
Mailing Address
555 Saint Charles Drive, Thousand Oaks, CA 91360
Phone number
(818) 991-5500
Established
Delaware since 08/15/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES & ASSOCIATES, INC. | HOLDING COMPANY | |
| BELL, JEREMY DAVID | CCO | 4498676 |
| CHMIELEWSKI, STEVEN ANDREW | DIRECTOR | 2066307 |
| COHEN, SHLOMO | DIRECTOR | 2877188 |
| COOK, BURKE MCCLAIN | CORPORATE SECRETARY / LEGAL COUNSEL | 4863190 |
| HILL, ALAN FINBAR | CEO / DIRECTOR | 5182098 |
| KIRSCH, WILLIAM TANNER | DIRECTOR | 5428522 |
| LEVEEN, JEFFREY EARLE JR | DIRECTOR | 2919172 |
| MICSKY, JEFFREY A | DIRECTOR | 4820920 |
| ONEIL, TIMOTHY DAWSON | EXECUTIVE CHAIRMAN | 2355507 |
| TESORO, ANTHONY JAMES | DIRECTOR | |
| TESORO, PHILLIP JAMES | DIRECTOR | 2009378 |
| WONG, JEFFREY RYAN | FINANCIAL AND OPERATIONS PRINCIPAL | 4428807 |
Disclosures
| Regulatory Event | 9 |
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.
