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Martin James Finan

SG Americas Securities, LLC

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About Martin James Finan

Martin Finan is a securities professional with over 25 years of experience in the industry. Martin is currently registered with SG Americas Securities, LLC and has been with the firm since August 2004. Martin has held a variety of roles in the financial services industry, including investment banking. Martin is a Series 7, 24, 63, 79, 99 and SIE licensed professional. Martin is registered in all 50 states. Prior to joining SG Americas Securities, LLC, Martin worked for SG COWEN & CO., LLC from July 1997 to July 2004.

Firm Information

Martin Finan is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

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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Martin Finan’s Registration & Firm History

IL

08/03/2004 - Present

SG Americas Securities, LLC (CHICAGO IL)

NY

07/29/1997 - 07/21/2004

SG COWEN & CO., LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/03/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/09/1998

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/28/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Martin James Finan.
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