Brian J. Finn
Professional summary
Brian James Finn is a registered financial professional currently at FIRST BROKERS SECURITIES LLC located in Jersey City, New Jersey.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1981. Brian has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian James Finn's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 14, 2013 - Present
FIRST BROKERS SECURITIES LLC
Office #1: Harborside 5 185 Hudson Street, Suite 1500, Jersey City, NJ 07311January 3, 2011 - May 14, 2013
TULLETT PREBON FINANCIAL SERVICES LLC
August 1, 2000 - January 18, 2011
NEWEDGE USA, LLC
July 1, 1998 - August 1, 2000
COWEN AND COMPANY
August 17, 1981 - July 1, 1998
FINANCIAL SQUARE PARTNERS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/14/2013)
(5/14/2013)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/8/2000
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
FIRST BROKERS SECURITIES LLC
CRD#: 27369 / SEC#: , 8-43035
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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