Kevin James Finnerty
Professional Summary
Kevin James Finnerty was a registered financial advisor. Kevin was a previously registered financial professional and started their career in finance 1977 - 2001. Kevin had worked at 7 firms and has passed the Series 5, Series 7, Series 8 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
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
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
49 years in the financial services industry
Current & Past Employments
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Current Firm
J.P. MORGAN MUNICIPAL FINANCE INC. | THE FIRM USES JPMORGANH&Q AS A MARKETING NAME. | THE FIRM USES J.P. MORGAN & CO. AS A MARKETING NAME. | JPMSI | J.P.MORGAN SECURITIES INC. | J.P. MORGAN SECURITIES INC.
Contact Information
Established
Delaware since 05/21/1984Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN SECURITIES HOLDINGS INC., A WHOLLY OWNED SUBSIDIARY OF J.P. MORGAN CHASE & CO. INC., A PUBLICLY HELD COMPANY. | 100% DIRECT OWNER OF J.P. MORGAN SECURITIES INC. | — |
| COLLINS, JAMES MICHAEL | VP/CFO/CONTROLLER | 2725065 |
| DEMCHAK, WILLIAM STANTON | VICE CHAIRMAN AND MANAGING DIRECTOR/DIRECTOR | 1876620 |
| DEPAOLO, MICHAEL PHILIP | ROP | 2507694 |
| FLUG, ROBERT ALAN | DIRECTOR/MANAGING DIRECTOR | 1497205 |
| GAHTAN, JOSEPH DAVID | ROP | 216457 |
| GROVER, BRIAN LEE | ROP | 1550127 |
| KETCHUM, THOMAS BRAY | DIRECTOR/MANAGING DIRECTOR | 2631776 |
| KRASS, JAMES FRANKLIN | MANAGING DIRECTOR/DIRECTOR | 3099685 |
| SCHNAPER, CARA L. | DIRECTOR/MANAGING DIRECTOR | — |
| SOLEBELLOFENTON, DARLEEN ANN | CROP | 2292861 |
| TAYLOR, BRENT HENRICKSEN | VP/AGC/HEAD OF US REGULATION AND COMPLIANCE | 3042416 |
| WATERS, LISA ESTELLE | SROP - RETAIL (LISTED OPTIONS) | 2279171 |
| WERNER, MARK BLACK | CHAIRMAN AND PRESIDENT/DIRECTOR | 730268 |
Disclosures
Regulatory Event
19Civil Event
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Oct 1982Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Sep 1995Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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