Vincent J. Finnegan
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.
Vincent Jude Finnegan, who also goes by VIncent J Finnegan, Vincent Jude Finnegan, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1974. Vincent had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 2 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2018 - May 9, 2019
IBN FINANCIAL SERVICES, INC.
May 7, 2013 - July 29, 2013
PACIFIC CORNERSTONE CAPITAL INCORPORATED
September 13, 2012 - July 1, 2016
GALT FINANCIAL GROUP, INC.
March 21, 2007 - March 5, 2013
PACIFIC CORNERSTONE CAPITAL INCORPORATED
October 20, 2006 - March 2, 2007
PFIC SECURITIES CORPORATION
September 16, 2005 - October 16, 2006
DOLPHIN SECURITIES, INC.
August 24, 2000 - October 14, 2003
VP DISTRIBUTORS LLC
June 14, 2000 - July 26, 2000
TRANSAMERICA CAPITAL, LLC
December 17, 1996 - September 24, 1998
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
September 21, 1995 - August 15, 1996
PASADENA FUND SERVICES, INC.
May 22, 1992 - October 6, 1993
OSAIC WEALTH, INC.
January 2, 1991 - May 29, 1992
TITAN/VALUE EQUITIES GROUP, INC.
April 23, 1990 - December 11, 1990
OSAIC WEALTH, INC.
November 19, 1989 - January 31, 1990
OSAIC WEALTH, INC.
December 13, 1974 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
Primary Firm SEC Registration
IBN FINANCIAL SERVICES, INC.
CRD#: 42360 / SEC#: 801-111848, 8-49815
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 2
Date: 7/16/1973
Non-Member General Securities ExaminationSeries 40
Date: 5/9/1977
Registered Principal ExaminationCurrent Firm
IBN FINANCIAL SERVICES, INC.
CRD#: 42360 / SEC#: 801-111848, 8-49815
Contact information
SEC notice filing (18 States and Territories)
FINRA licenses (50 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 768 |
| AUM (Assets Under Management) | $ 180,458,175 |
Disclosures
| Regulatory Event | 9 |
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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