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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Finnegan is a financial professional with over 30 years of experience in the industry. Mark is currently registered with Morgan Stanley and has been with them since September 2015. Previously, Mark was registered with BARCLAYS CAPITAL INC. from September 2008 until October 2015, and Lehman Brothers Inc. from October 1984 until September 2008. Mark has a wide range of experience in the financial services industry and holds both Series 63 and Series 65 licenses, as well as the SIE and Series 7. Mark has a strong background in asset allocation advice, financial planning, and portfolio management. He has worked with a variety of clients, including individuals, families, businesses, and institutions.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
MA
09/21/2015 - Present
Morgan Stanley (Boston MA)
MA
09/22/2008 - 10/07/2015
BARCLAYS CAPITAL INC. (BOSTON MA)
MA
10/25/1984 - 09/22/2008
LEHMAN BROTHERS INC. (BOSTON MA)
NA
07/13/1989 - 08/30/1991
LEHMAN GOVERNMENT SECURITIES INC.
NA
03/17/1989 - 08/30/1991
LEHMAN SPECIAL SECURITIES INC.
IA
Issued 02/21/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/04/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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