CF
Charles H. Finnegan
DISTRIBUTION SERVICES
New York, NY 10155
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CRD#: 6082035
CF
Professional summary
Charles Henry Finnegan, who also goes by Charles H Finnegan, Charlie Finnegan, is a registered financial professional currently at DISTRIBUTION SERVICES, LLC located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2020. Charles has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charles H Finnegan | Charlie Finnegan
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Charles Henry Finnegan'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
October 10, 2022 - Present
DISTRIBUTION SERVICES, LLC
Office #1: 150 East 58th Street 25th Floor, New York, NY 10155BD
CRD#: 25938
New York, NY
Past
June 1, 2020 - October 4, 2022
FORESIDE FINANCIAL SERVICES, LLC
BD
CRD#: 148477
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/10/2022)
RR
Arizona(10/10/2022)
RR
California(10/10/2022)
RR
Colorado(10/10/2022)
RR
Connecticut(10/10/2022)
RR
Delaware(10/10/2022)
RR
District of Columbia(10/10/2022)
RR
Florida(10/10/2022)
RR
Georgia(10/10/2022)
RR
Illinois(10/10/2022)
RR
Indiana(10/10/2022)
RR
Maine(10/10/2022)
RR
Maryland(10/10/2022)
RR
Massachusetts(10/10/2022)
RR
Michigan(10/10/2022)
RR
Minnesota(10/10/2022)
RR
Missouri(10/10/2022)
RR
New Hampshire(10/10/2022)
RR
New Jersey(10/10/2022)
RR
New York(10/10/2022)
RR
North Carolina(10/10/2022)
RR
Ohio(10/11/2022)
RR
Oregon(10/10/2022)
RR
Pennsylvania(10/10/2022)
RR
Rhode Island(10/10/2022)
RR
South Carolina(10/10/2022)
RR
Tennessee(10/10/2022)
RR
Texas(10/10/2022)
RR
Utah(10/10/2022)
RR
Virginia(10/10/2022)
RR
Washington(10/10/2022)
RR
Wisconsin(10/10/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/1/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DS
DISTRIBUTION SERVICES, LLC
DISTRIBUTION SERVICES, LLC | UMB DISTRIBUTION SERVICES, LLC | SUNSTONE FINANCIAL GROUP, INC. | SUNSTONE DISTRIBUTION SERVICES, LLC
CRD#: 25938 / SEC#: , 8-42106
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Wisconsin since 09/27/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| TAYLOR, GORDON BURDETTE | VP, CHIEF COMPLIANCE OFFICER | 2990648 |
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.
