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John Joseph Finn

Jonestrading

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About John Joseph Finn

John Joseph Finn is a financial professional with over 13 years of experience in the industry. John is currently registered with Jonestrading and holds a Series 3, 7, 24, 63, and 66 licenses. John has worked for several reputable firms including Stifel, Nicolaus & Company, Incorporated, Eaton Partners, LLC, J.P. Morgan Securities LLC, Bear, Stearns & Co. Inc., Bear, Stearns Securities Corp. and Citigroup Global Markets Inc.

Firm Information

John Finn is currently registered with Jonestrading. Jonestrading is a Limited Liability Company formed in August 2001. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. Jonestrading has been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

108

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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John Finn’s Registration & Firm History

CT

09/21/2022 - Present

Jonestrading (Stamford CT)

CT

03/29/2018 - 09/20/2022

STIFEL, NICOLAUS & COMPANY, INCORPORATED (ROWAYTON CT)

CT

07/09/2013 - 03/29/2018

EATON PARTNERS, LLC (ROWAYTON CT)

NY

12/22/2012 - 07/12/2013

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

07/21/2006 - 03/25/2008

BEAR, STEARNS & CO. INC. (BROOKLYN NY)

NY

07/21/2006 - 03/25/2008

BEAR, STEARNS SECURITIES CORP. (BROOKLYN NY)

NY

08/23/2004 - 07/13/2006

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/15/2013

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 09/29/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/30/2021

Series 24 - General Securities Principal Examination

BC

Issued 11/17/2022

Series 3 - National Commodity Futures Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/21/2012

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for John Joseph Finn.
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