TrueAdvisor
TrueAdvisor
SF
SF

Stephen Hunter Finegan

Piper Sandler & CO.
8 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Piper Sandler & CO.
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
22 advisors
Number of Clients
2 clients
Average Client Portfolio
$992.5M average
Assets Under Management
$2.0B

Location

1251 Avenue of the Americas, 6th Floor, New York, NY, 10020

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Piper Sandler & CO.
March 2020 - Present · 5 yrs 11 mos
Piper Sandler & CO.Broker
January 2020 - Present · 6 yrs 1 mo
Previous Registrations
Sandler, O'neill & Partners, L.P.Broker
April 2019 - January 2020 · 9 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 2017 - September 2018 · 1 yr
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2017 - September 2018 · 1 yr 6 mos
Foresters Financial Services, INC.Broker
July 2016 - August 2016 · 1 mo
State Registrations2 states
MNNY
AdvisorBroker
Exams
No exam information available for this advisor.