Misty L. Finch
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Misty L. Finch was a registered financial professional .
Misty is a previously registered financial professional and started their career in finance in 2007. Misty had worked at 2 firms and has passed the Series 63, SIE, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2013 - October 27, 2016
GULF SOUTH SECURITIES, INC
January 23, 2007 - September 13, 2011
PDC SECURITIES INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GULF SOUTH SECURITIES, INC
CRD#: 149899 / SEC#: , 8-68200
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GULF SOUTH HOLDING, INC. | SHAREHOLDER | |
| BEATON, DANIEL STEWART | FINOP AND CFO | 4240769 |
| FLANAGAN, TIMOTHY JOHN | DIRECTOR, PRESIDENT AND CHIEF COMPLIANCE OFFICER |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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