DF
Daniel G. Finnerty
KINGSBURY CAPITAL INVESTMENT ADVISORS LLC
Huntersville, NC
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CRD#: 5602437
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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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Gerard Finnerty | Daniel Finnerty | Danny Gerard Finnerty
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.
KINGSBURY CAPITAL INVESTMENT ADVISORS, LLC - 14134 HIAWATHA CT, HUNTERSVILLE, NC 28078- STARTED MARCH, 2012 INVESTMENT RELATED, INVESTMENT ADVISORY REP, COMPENSATED, 15-20 HRS/WEEK FINCOR FINANCIAL PARTNERS, LLC - 14134 HIAWATHA CT, HUNTERSVILLE, NC 28078 - STARTED APRIL 2019 - OPERATIONAL SUPPORT FOR KINGSBURY CAPITAL. 25-30 HRS/WEEK. Finnerty Beck, LLC - 14134 Hiawatha Ct, Huntersville, NC 28078, Franchise ownership, non-investment related, co-owner, August 2021, 2 hours a week outside trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Gerard Finnerty'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
May 17, 2013 - Present
KINGSBURY CAPITAL INVESTMENT ADVISORS LLC
RIA
CRD#: 145658
Huntersville, NC
Past
December 16, 2020 - May 11, 2023
SW FINANCIAL
BD
CRD#: 145012
MELVILLE, NY
Past
January 6, 2015 - December 31, 2019
KINGSBURY CAPITAL, INC.
BD
CRD#: 7638
EVANSTON, IL
Past
September 17, 2013 - January 5, 2015
FREEDOM INVESTORS CORP.
BD
CRD#: 23714
EVANSTON, IL
Past
October 31, 2012 - September 16, 2013
AUGMENT SECURITIES INC.
BD
CRD#: 28373
EVANSTON, IL
Past
December 18, 2009 - November 5, 2010
BREWER FINANCIAL SERVICES, LLC
BD
CRD#: 132558
CHICAGO, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KC
KINGSBURY CAPITAL INVESTMENT ADVISORS LLC
FINCOR WEALTH MANAGEMENT LLC | LEGACY CAPITAL WEALTH ADVISORS, LLC | KINGSBURY CAPITAL INVESTMENT ADVISORS LLC
CRD#: 145658 / SEC#: 801-118323
RIA
Registered Investment Advisory firm - (4/8/2020 Approved)Florida
Registered Investment Advisory firm - (4/9/2020 Terminated)Illinois
Registered Investment Advisory firm - (4/8/2020 Terminated)Missouri
Registered Investment Advisory firm - (4/9/2020 Terminated)North Carolina
Registered Investment Advisory firm - (4/9/2020 Terminated)Ohio
Registered Investment Advisory firm - (4/9/2020 Terminated)Texas
Registered Investment Advisory firm - (4/9/2020 Terminated)Wisconsin
Registered Investment Advisory firm - (4/9/2020 Terminated)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
North Carolina(4/1/2019)
Exams
State Security Law Exam
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
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 12/8/2015
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
KC
KINGSBURY CAPITAL INVESTMENT ADVISORS LLC
FINCOR WEALTH MANAGEMENT LLC | LEGACY CAPITAL WEALTH ADVISORS, LLC | KINGSBURY CAPITAL INVESTMENT ADVISORS LLC
CRD#: 145658 / SEC#: 801-118323
RIA
Registered Investment Advisory firm - (4/8/2020 Approved)Florida
Registered Investment Advisory firm - (4/9/2020 Terminated)Illinois
Registered Investment Advisory firm - (4/8/2020 Terminated)Missouri
Registered Investment Advisory firm - (4/9/2020 Terminated)North Carolina
Registered Investment Advisory firm - (4/9/2020 Terminated)Ohio
Registered Investment Advisory firm - (4/9/2020 Terminated)Texas
Registered Investment Advisory firm - (4/9/2020 Terminated)Wisconsin
Registered Investment Advisory firm - (4/9/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Wilmette, IL
Mailing Address
1555 Sherman Ave Suite 346, Evanston, IL 60201
Phone number
(312) 380-5300
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 595 |
| AUM (Assets Under Management) | $ 154,451,058 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
