Johnathan D. Finley

OPEN DOOR FINANCIAL ADVISORS

Lubbock, TX

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CRD#: 5488076

Professional summary

Johnathan Derek Finley, CFP®, who also goes by Derek Finley, Johnathan Finley, is a registered financial advisor currently at OPEN DOOR FINANCIAL ADVISORS located in Lubbock, Texas.

Johnathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Johnathan has worked at 4 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Derek Finley | Johnathan Finley

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.

OPEN DOOR FINANCIAL ADVISORS LLC / INVESTMENT RELATED / LUBBOCK, TX / REGISTERED INVESTMENT ADVISOR / OWNER / MAY 2021 / 150 HOURS PER MONTH / 100% DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Johnathan Derek Finley'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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

May 18, 2021 - Present

OPEN DOOR FINANCIAL ADVISORS

RIA

CRD#: 314379

Lubbock, TX

Past

June 3, 2022 - August 4, 2023

ORIGIN INVESTMENT ADVISORY LLC

RIA

CRD#: 305353

LUBBOCK, TX

Past

May 16, 2017 - February 1, 2019

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

HOUSTON, TX

Past

April 23, 2008 - March 28, 2016

WJ INTERESTS, LLC

RIA

CRD#: 114381

SUGAR LAND, TX

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(5/18/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/22/2008

Uniform Investment Adviser Law Examination

Current Firm

OPEN DOOR FINANCIAL ADVISORS

OPEN DOOR FINANCIAL ADVISORS | OPEN DOOR FINANCIAL ADVISORS LLC

CRD#: 314379 / SEC#:

Texas

Registered Investment Advisory firm - (5/18/2021 Approved)

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Contact information

Main Address

Lubbock, TX

Mailing Address

Phone number

(806) 318-8215

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	63
AUM (Assets Under Management)	$ 8,948,583

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.

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Johnathan D. Finley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Johnathan Derek Finley's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPEN DOOR FINANCIAL ADVISORS

ORIGIN INVESTMENT ADVISORY LLC

MERCER GLOBAL ADVISORS INC.

WJ INTERESTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/22/2008

Current Firm

OPEN DOOR FINANCIAL ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OPEN DOOR FINANCIAL ADVISORS

TRUST BUT VERIFY

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