Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam H. Finnegan has been in the financial industry since 1991. Currently, William H. Finnegan is a registered representative at Wells Fargo Clearing Services, LLC. William H. Finnegan also has experience at UBS Financial Services Inc. and MORGAN STANLEY. William H. Finnegan holds multiple securities licenses including Series 3, Series 4, Series 7, Series 8, Series 10, Series 14, Series 24, Series 27, Series 63, and Series 65. William H. Finnegan is registered in multiple states including Alabama, Arizona, Arkansas, California, Colorado, Florida, Georgia, Illinois, Louisiana, Maryland, Massachusetts, Michigan, Missouri, Nevada, New York, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, Texas, Utah, Vermont, and Wisconsin. William H. Finnegan's specializations include Broker/Dealer, Investment Adviser Representative, Broker/Dealer Principal, Registered Representative, and Investment Adviser. William H. Finnegan has a variety of experience and expertise in financial planning, portfolio management for businesses and individuals, investment consulting services to institutional clients, and selection of other advisors.
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.
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.
Investment consulting services to institutional clients
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
TX
01/13/2020 - Present
Wells Fargo Clearing Services, LLC (HOUSTON TX)
TX
06/18/2010 - 11/25/2019
MORGAN STANLEY (Houston TX)
TX
11/16/1990 - 04/08/2010
UBS FINANCIAL SERVICES INC. (THE WOODLANDS TX)
IA
Issued 09/15/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/27/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/23/1996
Series 27 - Financial and Operations Principal Examination
BC
Issued 06/25/1993
Series 14 - Compliance Officer Examination
BC
Issued 02/12/1993
Series 24 - General Securities Principal Examination
BC
Issued 02/10/1992
Series 4 - Registered Options Principal Examination
BC
Issued 06/03/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/1995
Series 3 - National Commodity Futures Examination
BC
Issued 11/14/1990
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure William Finnegan is the right advisor for you? Invested Better is here to help.
