Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Finnerty is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Brian has been in the industry since 1986. Brian is registered with the state of New York and Connecticut as an Investment Advisor Representative. Brian is also registered with the states of Texas and California as a Broker. Brian has a Series 7, 24, 63, 66, and SIE. Brian holds a General Securities Principal license. Brian has experience working with high-net-worth individuals, corporations, and other businesses. Brian also has experience with charitable organizations, pension and profit-sharing plans, and insurance companies. Brian has been with Merrill Lynch since 2012 and before that was with R.W. Pressprich & Co. for a little over two years. Brian has also worked with SG Americas Securities, LLC, SG Cowen & Co., LLC, CitiCorp Securities, Inc., and Dean Witter Reynolds Inc. Brian is currently registered as an Investment Advisor Representative with Merrill Lynch and is also registered as a Broker with several other firms. Brian also has a Series 79TO license for Investment Banking. Brian is committed to providing his clients with personalized financial advice and investment strategies.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
03/01/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GARDEN CITY NY)
NY
11/10/2009 - 03/21/2012
R.W.PRESSPRICH & CO. (NEW YORK NY)
NY
08/03/2004 - 02/29/2008
SG AMERICAS SECURITIES, LLC (NEW YORK NY)
NY
09/20/1997 - 07/20/2004
SG COWEN & CO., LLC (NEW YORK NY)
NY
03/31/1987 - 10/03/1996
CITICORP SECURITIES, INC. (NEW YORK NY)
NA
09/23/1982 - 12/12/1985
DEAN WITTER REYNOLDS INC.
BOTH
Issued 05/11/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/13/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/01/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/1982
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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