FJ
Finley John
QUILVEST CAPITAL PARTNERS SECURITIES
New York, NY 10022
CRD#: 5126456
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FJ
Finley JohnQUILVEST CAPITAL PARTNERS SECURITIES
Professional summary
Finley John is a registered financial professional currently at QUILVEST CAPITAL PARTNERS SECURITIES LLC located in New York, New York.
Finley is registered as a RR (Registered Representative) and started their career in finance in 2018. Finley has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 79, 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 Finley John'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
March 6, 2018 - Present
QUILVEST CAPITAL PARTNERS SECURITIES LLC
Office #1: 527 Madison Avenue 11th Floor, New York, NY, 10022Office #2: 10 East 53rd Street, Suite 600, New York, NY 10022BD
CRD#: 286380
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(5/14/2018)
RR
Alaska(4/17/2018)
RR
Arizona(4/23/2018)
RR
Arkansas(5/2/2018)
RR
California(4/11/2018)
RR
Colorado(5/2/2018)
RR
Connecticut(5/7/2018)
RR
Delaware(4/19/2018)
RR
District of Columbia(5/10/2018)
RR
Florida(5/17/2018)
RR
Georgia(5/3/2018)
RR
Hawaii(5/18/2018)
RR
Idaho(4/11/2018)
RR
Illinois(5/14/2018)
RR
Iowa(4/11/2018)
RR
Kansas(5/24/2018)
RR
Kentucky(4/16/2018)
RR
Louisiana(4/11/2018)
RR
Maine(5/4/2018)
RR
Maryland(4/24/2018)
RR
Massachusetts(5/24/2018)
RR
Michigan(4/20/2018)
RR
Minnesota(5/4/2018)
RR
Mississippi(4/11/2018)
RR
Missouri(5/2/2018)
RR
Nebraska(5/14/2018)
RR
Nevada(4/19/2018)
RR
New Hampshire(6/29/2018)
RR
New Jersey(5/18/2018)
RR
New Mexico(5/2/2018)
RR
New York(4/4/2018)
RR
North Carolina(4/20/2018)
RR
North Dakota(4/18/2018)
RR
Ohio(4/11/2018)
RR
Oklahoma(4/11/2018)
RR
Oregon(4/19/2018)
RR
Pennsylvania(4/16/2018)
RR
Rhode Island(4/11/2018)
RR
South Carolina(5/18/2018)
RR
South Dakota(4/11/2018)
RR
Tennessee(4/25/2018)
RR
Texas(5/17/2018)
RR
Utah(4/11/2018)
RR
Vermont(5/14/2018)
RR
Virginia(4/18/2018)
RR
Washington(5/11/2018)
RR
West Virginia(5/24/2018)
RR
Wisconsin(4/12/2018)
RR
Wyoming(5/10/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
QC
QUILVEST CAPITAL PARTNERS SECURITIES LLC
QUILVEST CAPITAL PARTNERS SECURITIES LLC | QUILVEST SECURITIES LLC
CRD#: 286380 / SEC#: , 8-69883
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
10 East 53rd Street, Suite 600, New York, NY 10022
Mailing Address
10 East 53rd Street, Suite 600, New York, NY 10022
Phone number
(212) 920-3800
Established
Delaware since 10/13/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
