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Andrew McGough

Finalis Securities LLC

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About Andrew McGough

Andrew McGough is a financial professional with over 25 years of experience in the securities industry. Andrew is currently registered with Finalis Securities LLC, a broker-dealer firm, and is also registered in Florida and Delaware. Andrew previously worked for WEILD & CO., H. RIVKIN & CO., INC., EXOTIX USA INC. and several other firms. Andrew holds the Series 7, Series 6, Series 63, Series 82TO, and SIE licenses.

Firm Information

Andrew McGough is currently registered with Finalis Securities LLC. Finalis Securities LLC is a Limited Liability Company formed in September 2019. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

337

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Andrew McGough’s Registration & Firm History

NY

05/26/2023 - Present

Finalis Securities LLC (New York NY)

CO

03/19/2021 - 06/12/2023

WEILD & CO. (BOULDER CO)

NJ

10/04/2018 - 03/19/2021

H. RIVKIN & CO., INC. (PENNINGTON NJ)

NY

08/19/2014 - 07/17/2018

EXOTIX USA INC. (NEW YORK NY)

NJ

04/12/2011 - 08/20/2014

H. RIVKIN & CO., INC. (PENNINGTON NJ)

NJ

06/24/2008 - 07/24/2009

H. RIVKIN & CO., INC. (PENNINGTON NJ)

NJ

07/11/2005 - 07/23/2007

H. RIVKIN & CO., INC. (PRINCETON NJ)

TX

03/01/2001 - 08/11/2003

MORGAN SPAULDING, INC. (DALLAS TX)

NJ

01/25/1999 - 10/18/2000

DONALD & CO. SECURITIES INC. (TINTON FALLS NJ)

NJ

03/20/1992 - 02/08/1999

H. RIVKIN & CO., INC. (PRINCETON NJ)

NY

04/29/1989 - 01/27/1990

PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)

NA

08/19/1988 - 10/03/1988

VALUE LINE SECURITIES, INC.

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Licenses & Designations

BC

Issued 10/18/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 82TO - Limited Representative-Private Securities Offerings

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 07/17/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/19/1992

Series 7 - General Securities Representative Examination

BC

Issued 06/16/1988

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Andrew McGough.
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