Daniel Gerard Finnerty
Professional Summary
Daniel Gerard Finnerty, who also goes by Dan Gerard Finnerty, Daniel Finnerty, Danny Gerard Finnerty, is a registered financial advisor currently at KINGSBURY CAPITAL INVESTMENT ADVISORS LLC located in Huntersville, North Carolina. Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Daniel has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dan Gerard Finnerty, Daniel Finnerty, Danny Gerard Finnerty
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
16 years in the financial services industry
Current & Past Employments
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Current Firm
FINCOR WEALTH MANAGEMENT LLC | LEGACY CAPITAL WEALTH ADVISORS, LLC | KINGSBURY CAPITAL INVESTMENT ADVISORS LLC
Contact Information
Main Address
Wilmette, ILMailing Address
1555 Sherman Ave Suite 346, Evanston, IL 60201Phone Number
(312) 380-5300# of Employees
6SEC notice filing (9 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
584AUM (Assets Under Management)
$162,038,154Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
FINCOR WEALTH MANAGEMENT LLC | LEGACY CAPITAL WEALTH ADVISORS, LLC | KINGSBURY CAPITAL INVESTMENT ADVISORS LLC
State Registrations and Notice Filings
(4/1/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Dec 2015About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Daniel Gerard Finnerty's CRS (Customer Relationship Summary).
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