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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Michael Finn is a financial advisor with over 35 years of experience in the industry. John is currently registered with LPL Financial LLC in Middletown, Rhode Island and has a Series 6, 7, 22, 24, 63, and 65 license. John is also a registered investment advisor in Rhode Island and Texas. John has been with LPL Financial LLC since 1997 and has previous experience with MML Investors Services, Inc. and G. R. Phelps & Co., Inc. John provides a variety of financial services to individuals, corporations, and charitable organizations. John's services include financial planning, portfolio management, investment advice, and consulting.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Consulting and other non-discretionary advisory services
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
RI
04/29/2010 - Present
LPL Financial LLC (MIDDLETOWN RI)
MA
03/01/1996 - 01/27/1997
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NA
04/07/1994 - 03/01/1996
G. R. PHELPS & CO., INC.
NA
04/07/1992 - 04/06/1994
G. R. PHELPS & CO., INC.
NA
02/18/1992 - 04/06/1994
G. R. PHELPS & CO., INC.
MA
03/13/1991 - 02/19/1992
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
03/13/1991 - 02/19/1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
NA
09/02/1986 - 02/15/1991
G. R. PHELPS & CO., INC.
IA
Issued 02/07/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/29/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/06/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/14/1993
Series 7 - General Securities Representative Examination
BC
Issued 03/10/1988
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 08/29/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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