Peggy Prince Finn
Professional Summary
Peggy Prince Finn, who also goes by Peggy Ellen Prince, is a registered financial advisor currently at STERN BROTHERS & CO. located in St. Louis, Missouri. Peggy is registered as a RR (Registered Representative) and started their career in finance in 1981. Peggy has worked at 2 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 50, Series 7, Series 52, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Peggy Ellen Prince
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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.
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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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
BINGHAM & COMPANY CAPITAL MARKETS, INC. | STERN BROTHERS & CO. PUBLIC FINANCE | STERN BROTHERS & CO.
Contact Information
Main Address
8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911Mailing Address
8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911Phone Number
(314) 727-5519Established
Missouri since 01/25/1985Firm Type
CorporationFiscal Year End
SeptemberFirm Size
SmallFINRA licenses (41 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED | TRUST | — |
| PEGGY P. FINN 2012 TRUST DATED 12-21-2012 | TRUST | — |
| CLEMENTS, DONALD SIDNEY | CHIEF TECHNOLOGY OFFICER | 4440518 |
| FINN, PEGGY PRINCE | CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE | 730640 |
| FINN, TERRENCE MICHAEL | PRESIDENT, DIRECTOR | 1102166 |
| MIRIANI, JASON ANDREW | CFO, TREASURER | 4547660 |
| ROCKLEY, PAMELA LOUISE | CHIEF COMPLIANCE OFFICER/ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1438348 |
| WARREN, KAREN KAY | PRINCIPAL OPERATIONS OFFICER | 1316200 |
Disclosures
Regulatory Event
1Similar Advisors
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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
(11/25/2013)
(5/18/2010)
(2/12/2010)
(2/12/2010)
(2/12/2010)
(2/12/2010)
(2/12/2010)
(8/26/2014)
(11/16/2010)
(2/12/2010)
(2/12/2010)
(2/12/2010)
(2/12/2010)
(2/12/2010)
(2/12/2010)
(2/12/2010)
(2/12/2010)
(2/12/2010)
(2/12/2010)
(2/12/2010)
(2/12/2010)
(1/29/2014)
(1/18/2010)
(2/12/2010)
(2/12/2010)
(2/12/2010)
(2/12/2010)
(2/12/2010)
(3/3/2010)
(2/12/2010)
(2/12/2010)
(2/12/2010)
(2/17/2010)
(2/12/2010)
(1/24/2014)
(3/15/2021)
(4/2/2015)
(2/12/2010)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 50 — Municipal Advisor Representative Qualification Exam
Passed Aug 2017About the Series 50 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Peggy Prince Finn's CRS (Customer Relationship Summary).
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