Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Finegan is a financial advisor registered with Piper Sandler & Co. Stephen has been in the financial services industry since 2016. Stephen's primary registration is with the state of Minnesota. Previously, Stephen worked for Sandler, O'Neill & Partners, L.P. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Stephen is a Series 6, Series 7, Series 63 and Series 65 licensed representative. Stephen provides analytical reports and public finance consulting programs.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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.
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2
NY
03/11/2020 - Present
Piper Sandler & Co. (NEW YORK NY)
NY
04/10/2019 - 01/03/2020
SANDLER, O'NEILL & PARTNERS, L.P. (NEW YORK NY)
NY
03/30/2017 - 09/13/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/01/2016 - 08/24/2016
FORESTERS FINANCIAL SERVICES, INC. (WESTBURY NY)
IA
Issued 06/30/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/15/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/13/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/26/2017
Series 7 - General Securities Representative Examination
BC
Issued 06/30/2016
Series 6 - Investment Company Products/Variable Contracts 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
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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