Kevin J. Finnerty
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.
Kevin James Finnerty was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1977. Kevin had worked at 7 firms and has passed the Series 5, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2001 - May 1, 2001
JPMSI
December 23, 1999 - December 1, 2004
J.P. MORGAN SECURITIES INC.
February 3, 1997 - February 26, 1998
UBS SECURITIES LLC
July 9, 1986 - July 23, 1996
J.P. MORGAN SECURITIES LLC
July 7, 1980 - July 15, 1986
MORGAN STANLEY DW INC.
September 26, 1978 - July 27, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 5
Date: 10/16/1982
Interest Rate Options ExaminationSeries 8
Date: 9/5/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
JPMSI
CRD#: 15733 / SEC#: , 8-32646
Contact information
Documents
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 | 19 |
| Civil Event | 2 |
Red Flags
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