Jacob K. Finn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jacob K Finn, who also goes by Jacob K Finn, was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 2022. Jacob had worked at 2 firms and has passed the Series 63, Series 82TO, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2023 - April 5, 2024
FNEX CAPITAL, LLC
July 18, 2022 - July 6, 2023
JEFFERIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 82TO
Date: 8/10/2023
Limited Representative-Private Securities OfferingsSeries 79TO
Date: 7/18/2022
Investment Banking Registered Representative ExaminationCurrent Firm
FNEX CAPITAL, LLC
CRD#: 166316 / SEC#: , 8-69199
Contact information
FINRA licenses (51 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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