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Robert H. Finley

LA HONDA ADVISORS LLC
Menlo Park, CA 94025
Some features on this profile are disabled
CRD#: 7542682
RF

Professional summary

Robert Hugh Finley is a registered financial professional currently at LA HONDA ADVISORS LLC located in Menlo Park, California.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2022. Robert has worked at 1 firm and has passed the Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Hugh Finley'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

June 9, 2022 - Present

LA HONDA ADVISORS LLC

Office #1: 770 Menlo Avenue, Suite 230, Menlo Park, CA 94025
BD
CRD#: 165045
Menlo Park, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 79TO
Date: 6/9/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/15/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

LH
LA HONDA ADVISORS LLC
LA HONDA ADVISORS LLC

CRD#: 165045 / SEC#: , 8-69130

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
770 Menlo Avenue, Suite 230, Menlo Park, CA 94025
Mailing Address
83 Marymont Ave., Atherton, CA 94027
Phone number
(650) 400-1068
Established
California since 09/20/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KETSDEVER, DAVID TODDMEMBER, EXECUTIVE REPRESENTATIVE1772891
LEVENSON, JULIE JOMEMBER, CCO2087780
SMITH, EDWARD MERRILLFINOP CFO3143679

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.

Company Information

LA HONDA ADVISORS LLC

CRD#: 165045Menlo Park, CA 94025

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