Michael Robert Finnie

Current Employers

Aegis Capital Corp.

1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2025-12-23
VA	RA	APPROVED	2023-03-08

SC RA
APPROVED

Since 2025-12-23
VA RA
APPROVED

Since 2023-03-08

Branch Locations

Greer, SC • United States

1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Securities America, Inc	Richmond	VA	12/2010	07/2018
Usadvisors Wealth Management, Llc.	Harrisonburg	VA	09/2013	07/2018
Securities America Advisors	Harrisonburg	VA	02/2016	07/2018
J.W. Cole Financial, Inc.	Tampa	FL	07/2018	04/2022
J.W. Cole Advisors, Inc.	Tampa	FL	07/2018	04/2022
Lpl Financial, Llc	Midlothian	VA	04/2022	02/2023
Aegis Capital Corp	Midlothian	VA	02/2023	Present

12/2010 → 07/2018

Securities America, Inc

Richmond, VA
09/2013 → 07/2018

Usadvisors Wealth Management, Llc.

Harrisonburg, VA
02/2016 → 07/2018

Securities America Advisors

Harrisonburg, VA
07/2018 → 04/2022

J.W. Cole Financial, Inc.

Tampa, FL
07/2018 → 04/2022

J.W. Cole Advisors, Inc.

Tampa, FL
04/2022 → 02/2023

Lpl Financial, Llc

Midlothian, VA
02/2023 → Present

Aegis Capital Corp

Midlothian, VA

Previous Registrations

2023-01-05 → 2023-02-22

Lpl Financial Llc

San Diego, CA

Midlothian, VA
2018-08-07 → 2023-01-04

J. W. Cole Advisors, Inc.

Alexandria, VA

Tampa, FL

Alexandria, VA

Midlothian, VA
2016-03-17 → 2018-08-01

Securities America Advisors, Inc.

Harrisonburg, VA
2014-02-21 → 2016-03-16

Usadvisors Wealth Management, Llc

Harrisonburg, VA
2010-12-17 → 2014-02-19

Securities America Advisors, Inc.

La Vista, NE

Alexandria, VA

Harrisonburg, VA
2009-01-02 → 2010-12-21

Raymond James Financial Services Advisors, Inc

Richmond, VA
2002-02-14 → 2009-01-02

Raymond James Financial Services, Inc.

Richmond, VA

Richmond, VA

Midlothian, VA
2005-02-25 → 2006-12-31

Pinnacle Group

Richmond, VA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-04-16
S63	Uniform Securities Agent State Law Examination	1991-02-05

S65 Uniform Investment Adviser Law Examination

1996-04-16
S63 Uniform Securities Agent State Law Examination

1991-02-05