Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Robert Finnegan is a securities professional with over 30 years of experience in the financial services industry. Charles is currently registered with Parkland Securities, LLC in Lawrenceburg, IN. Charles is also registered in four other states: Florida, Indiana, Kentucky, and Ohio. Charles previously worked for several other financial institutions including Walnut Street Securities, Inc., Donahue Securities, Inc., WMA Securities, Inc., Fortis Investors, Inc., Penn Mutual Equity Services, Inc., Vestax Securities Corporation, Anchor National Financial Services, Inc. and John Hancock Distributors, Inc. Charles holds Series 6, Series 63, SIE and Series 6TO licenses.
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.
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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2
IN
02/09/2002 - Present
Parkland Securities, LLC (LAWRENCEBURG IN)
CA
12/14/1999 - 02/09/2002
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
OH
05/21/1997 - 03/12/1999
DONAHUE SECURITIES, INC. (CINCINNATI OH)
GA
09/16/1994 - 09/30/1997
WMA SECURITIES, INC. (DULUTH GA)
MN
08/13/1994 - 09/26/1994
FORTIS INVESTORS, INC. (OAKDALE MN)
PA
01/01/1991 - 10/05/1992
PENN MUTUAL EQUITY SERVICES, INC. (HORSHAM PA)
NA
01/06/1988 - 12/31/1988
VESTAX SECURITIES CORPORATION
NA
08/01/1986 - 01/14/1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
NA
08/17/1982 - 12/24/1984
JOHN HANCOCK DISTRIBUTORS, INC.
BC
Issued 01/31/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/1982
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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