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James Finnegan

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Middletown, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-07-07
NY RA APPROVED 2025-06-30
  • TX RA
    APPROVED
    Since 2025-07-07
  • NY RA
    APPROVED
    Since 2025-06-30

Branch Locations

90 Crystal Run Rd, Middletown, NY 10941 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Middletown NY 04/2025 Present
West Hills Country Club Middletown NY 01/2012 04/2025
Mfpjjrt Enterpises - Parent Co. Of West Hills Country Club New Windsor NY 01/2020 12/2020
Bank Of America, N.A. Middletown NY 06/2025 Present
  • 04/2025 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Middletown, NY
  • 01/2012 → 04/2025
    West Hills Country Club
    Middletown, NY
  • 01/2020 → 12/2020
    Mfpjjrt Enterpises - Parent Co. Of West Hills Country Club
    New Windsor, NY
  • 06/2025 → Present
    Bank Of America, N.A.
    Middletown, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-06-30
  • S66 Uniform Combined State Law Examination
    2025-06-30
Other Names
  • James Michael Finnegan
  • Jim Finnegan

View on SEC IAPD

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LEONARD CURCIO
ANDREW G WEYANT
RICHARD PEREZ
PETER PHILLIP VANETTEN
NANCY FRANCIS WRIGHT
KARLA GALAZZO
MICHAEL DECKER

Other Offices

PFS INVESTMENTS INC. · MIDDLETOWN, NY
PFS INVESTMENTS INC. · MIDDLETOWN, NY
PFS INVESTMENTS INC. · MIDDLETOWN, NY
EQUITABLE ADVISORS, LLC · MIDDLETOWN, NY
CETERA INVESTMENT ADVISERS LLC · MIDDLETOWN, NY
OSAIC WEALTH, INC. · MIDDLETOWN, NY
EDWARD JONES · MIDDLETOWN, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MIDDLETOWN, NY

More in Middletown, NY

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