Etan B Finkel
Professional Summary
Etan B Finkel is a registered financial advisor currently at DOWLING & PARTNERS SECURITIES LLC located in Evanston, Illinois. Etan is registered as a RR (Registered Representative) and started their career in finance in 2016. Etan has worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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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 on record.
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Years of Experience
9 years in the financial services industry
Current & Past Employments
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Current Firm
DOWLING & PARTNERS SECURITIES LLC | PAULSEN, DOWLING SECURITIES, INC. | PAULSEN, DOWLING SECURITIES LLC | PAULSEN SECURITIES, INC. | DOWLING HALES, LLC
Contact Information
Main Address
190 Farmington Avenue, Farmington, CT 06032Mailing Address
190 Farmington Avenue, Farmington, CT 06032Phone Number
(860) 676-8600Established
Connecticut since 07/01/1994Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (8 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOWLING CORPORATION | 100% OWNER | — |
| BYRNE, THOMAS ARTHUR | PRESIDENT/CEO/EXECUTIVE REPRESENTATIVE | 1334509 |
| DOWLING, VERONICA ALVAREZ | CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER | 5166888 |
| LENT, BRENNA SULLIVAN | MEMBER | 2399560 |
| NIXON, JON ALAN | FINOP, PFO, POO | 4710715 |
| SWEENEY, RICHARD A | CHIEF COMPLIANCE OFFICER | 2396562 |
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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.
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State Registrations and Notice Filings
(4/25/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Dec 2016About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Etan B Finkel's CRS (Customer Relationship Summary).
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