Chet Finkbeiner
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.
Chet Finkbeiner was a registered financial professional .
Chet is a previously registered financial professional and started their career in finance in 2009. Chet had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2015 - February 17, 2016
JAMES FOX SECURITIES, INC.
October 17, 2013 - February 25, 2014
ROCKWELL GLOBAL CAPITAL LLC
April 19, 2010 - October 26, 2011
ROCKWELL GLOBAL CAPITAL LLC
February 8, 2010 - May 10, 2010
QA3 FINANCIAL CORP.
October 23, 2009 - February 12, 2010
J.D. NICHOLAS & ASSOCIATES, INC.
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
JAMES FOX SECURITIES, INC.
CRD#: 43632 / SEC#: , 8-50391
Contact information
FINRA licenses (3 States and Territories)
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.
