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CF

Colleen N. Finney

COHEN & STEERS SECURITIES
New York, NY 10036
Some features on this profile are disabled
CRD#: 5378511
CF

Professional summary

Colleen Nicole Finney is a registered financial professional currently at COHEN & STEERS SECURITIES, LLC located in New York, New York.

Colleen is registered as a RR (Registered Representative) and started their career in finance in 2015. Colleen has worked at 6 firms and has passed the SIE, Series 7 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Colleen Nicole Finney's CRS (Customer Relationship Summary).
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

November 14, 2024 - Present

COHEN & STEERS SECURITIES, LLC

Office #1: 1166 Avenue Of The Americas 30th Floor, New York, NY 10036
BD
CRD#: 29258
New York, NY
Past

August 26, 2019 - September 11, 2024

OCM INVESTMENTS, LLC

BD
CRD#: 128803
LOS ANGELES, CA
Past

October 5, 2017 - August 15, 2019

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
NEW YORK, NY
Past

June 3, 2016 - September 27, 2017

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

May 13, 2016 - July 26, 2016

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
ST. PETERSBURG, FL
Past

May 22, 2015 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
ST. PETERSBURG, FL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/22/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/26/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

C&
COHEN & STEERS SECURITIES, LLC
COHEN & STEERS SECURITIES, INC. | COHEN & STEERS SECURITIES, LLC

CRD#: 29258 / SEC#: , 8-44123

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

Main Address
1166 Avenue Of The Americas 30th Floor, New York, NY 10036
Mailing Address
1166 Avenue Of The Americas 30th Floor, New York, NY 10036
Phone number
(212) 832-3232
Established
Delaware since 11/13/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
COHEN & STEERS CAPITAL MANAGEMENT INC.SHAREHOLDER106266
DERECHIN, ADAM MVICE PRESIDENT2531374
MURPHY, STEPHEN THOMASCHIEF COMPLIANCE OFFICER2340624
POLI, FRANCIS CASIMIRPRESIDENT, DIRECTOR1628917
TEUFEL, FREDERICK CHARLESFINOP, PFO AND POO2092408

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

COHEN & STEERS SECURITIES, LLC

CRD#: 29258New York, NY 10036

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