PF
Patrick M. Finn
VAN ECK SECURITIES
New York, NY 10017-4033
Some features on this profile are disabled
CRD#: 4898858
PF
Professional summary
Patrick M Finn, CFA is a registered financial professional currently at VAN ECK SECURITIES CORPORATION located in New York, New York.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 2005. Patrick has worked at 4 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Patrick M Finn'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®
Experience
Current
August 10, 2010 - Present
VAN ECK SECURITIES CORPORATION
Office #1: 666 Third Avenue 9th Floor, New York, NY 10017-4033BD
CRD#: 2269
New York, NY
Past
October 7, 2009 - June 24, 2010
NORTHERN TRUST SECURITIES, INC.
BD
CRD#: 7927
CHICAGO, IL
Past
March 28, 2007 - December 31, 2008
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
March 30, 2005 - December 6, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
CHICAGO, IL
Past
February 7, 2005 - December 6, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
CHICAGO, IL
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(8/10/2010)
RR
Alaska(8/10/2010)
RR
Arizona(8/10/2010)
RR
Arkansas(8/10/2010)
RR
California(8/10/2010)
RR
Colorado(8/10/2010)
RR
Connecticut(8/10/2010)
RR
Delaware(8/10/2010)
RR
District of Columbia(8/10/2010)
RR
Florida(8/10/2010)
RR
Georgia(8/10/2010)
RR
Hawaii(8/10/2010)
RR
Idaho(8/10/2010)
RR
Illinois(8/10/2010)
RR
Indiana(8/10/2010)
RR
Iowa(8/10/2010)
RR
Kansas(8/10/2010)
RR
Kentucky(8/10/2010)
RR
Louisiana(8/10/2010)
RR
Maine(8/10/2010)
RR
Maryland(8/10/2010)
RR
Massachusetts(8/10/2010)
RR
Michigan(8/10/2010)
RR
Minnesota(8/10/2010)
RR
Mississippi(8/10/2010)
RR
Missouri(8/10/2010)
RR
Montana(8/10/2010)
RR
Nebraska(8/10/2010)
RR
Nevada(8/10/2010)
RR
New Hampshire(8/10/2010)
RR
New Jersey(8/10/2010)
RR
New Mexico(8/10/2010)
RR
New York(8/10/2010)
RR
North Carolina(8/13/2010)
RR
North Dakota(8/10/2010)
RR
Ohio(8/12/2010)
RR
Oklahoma(8/10/2010)
RR
Oregon(8/10/2010)
RR
Pennsylvania(8/10/2010)
RR
Puerto Rico(8/10/2010)
RR
Rhode Island(8/10/2010)
RR
South Carolina(8/10/2010)
RR
South Dakota(8/10/2010)
RR
Tennessee(1/13/2020)
RR
Texas(8/10/2010)
RR
Utah(8/10/2010)
RR
Vermont(8/10/2010)
RR
Virginia(8/10/2010)
RR
Washington(8/10/2010)
RR
West Virginia(8/10/2010)
RR
Wisconsin(8/10/2010)
RR
Wyoming(8/10/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VE
VAN ECK SECURITIES CORPORATION
I. I. I. SECURITIES CORPORATION | VE | VANECK | VAN ECK SECURITIES CORPORATION
CRD#: 2269 / SEC#: , 8-4618
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
666 Third Avenue 9th Floor, New York, NY 10017-4033
Mailing Address
666 Third Avenue 9th Floor, New York, NY 10017-4033
Phone number
(212) 293-2000
Established
Delaware since 08/01/1955
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VAN ECK ASSOCIATES CORPORATION | 100% OWNER & PARENT | |
| GOZZILLO, FRANCESCO MICHAEL | CHIEF COMPLIANCE OFFICER | 2099916 |
| RAPPAPORT, LEE ROBERT | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, OPERATIONS PRINCIPAL (FINOP) AND DIRECTOR | 4682842 |
| SIMON, JONATHAN RICH | SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND DIRECTOR | 5313394 |
| VANECK, JAN FREDERICK | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1695680 |
Disclosures
| Regulatory Event | 2 |
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.
