Ryan D. Finn

APIS FINANCIAL GROUP

Denver, CO

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CRD#: 6004705

Professional summary

Ryan Daniel Finn is a registered financial advisor currently at APIS FINANCIAL GROUP, LLC located in Denver, Colorado.

Ryan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Ryan has worked at 5 firms and has passed the Series 63, Series 65, Series 66, SIE, Series 3, Series 55, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Command Financial Group LLC. Not investment related. Mortgage Brokering. President. President. 03/2018. Approximately 40 hours a month. 40 hours during trading hours. Day to day operations. Great Point Capital. Investment related. Alternate investments. Registered Rep. Rep. 01/2019. Approximately 1 hour a month. 1 hour during trading hours. Sales Rep.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Daniel Finn'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®

None

Experience

Current

November 18, 2021 - Present

APIS FINANCIAL GROUP, LLC

RIA

CRD#: 312493

Denver, CO

Past

August 14, 2019 - December 8, 2021

GREAT POINT CAPITAL LLC

CRD#: 114203

CHICAGO, IL

Past

January 2, 2019 - December 31, 2019

COMMAND FINANCIAL GROUP

RIA

CRD#: 297343

CHICAGO, IL

Past

September 11, 2012 - July 14, 2017

E*TRADE SECURITIES LLC

CRD#: 29106

CHICAGO, IL

Past

January 19, 2012 - April 11, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

OAK BROOK, IL

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

Illinois
(11/18/2021)

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

Series 63

Date: 10/10/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/29/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/9/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/14/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/27/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 2/20/2013

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/18/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 7/9/2014

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/6/2013

General Securities Principal Examination

Current Firm

APIS FINANCIAL GROUP, LLC

CRD#: 312493 / SEC#:

Illinois

Registered Investment Advisory firm - (4/16/2021 Approved)

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Contact information

Main Address

Villa Park, IL

Mailing Address

Phone number

(630) 207-4255

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	26
AUM (Assets Under Management)	$ 4,078,011

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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Advisor Monitoring

Firm Stability Insights

Ryan D. Finn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Daniel Finn's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREAT POINT CAPITAL LLC

COMMAND FINANCIAL GROUP

E*TRADE SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 10/10/2019

Series 65

Date: 11/29/2018

Series 66

Date: 5/9/2012

SIE

Date: 7/14/2017

Series 3

Date: 7/27/2013

Series 55

Date: 2/20/2013

Series 7

Date: 1/18/2012

Series 4

Date: 7/9/2014

Series 24

Date: 6/6/2013

Current Firm

APIS FINANCIAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

APIS FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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