Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Finnegan is a financial advisor with Scotia Capital (usa) Inc. in New York, NY. Douglas has been in the industry since 2002 and is a Series 7, 24, 55, 57TO, and 63 licensed professional. Douglas has been registered with Scotia Capital (usa) Inc. since 2018. Before joining Scotia Capital (usa) Inc., Douglas was employed by NOMURA SECURITIES INTERNATIONAL, INC. and JONESTRADING.
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.
1
2
NY
04/03/2018 - Present
Scotia Capital (usa) Inc. (NEW YORK NY)
NY
02/22/2010 - 06/08/2017
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
07/10/2009 - 02/01/2010
JONESTRADING (NEW YORK NY)
NY
10/13/2000 - 02/24/2009
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
BC
Issued 10/04/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/18/2018
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/18/2000
Series 3 - National Commodity Futures Examination
BC
Issued 10/12/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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