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Lyle Dean Finley

Rj20, Inc.

Durham, NC

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Current Employers
Rj20, Inc.

Durham, NC • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2012-12-10
  • NC RA
    APPROVED
    Since 2012-12-10

Branch Locations

Durham, NC • 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
Wells Fargo Clearing Services, Llc Raleigh NC 06/2023 Present
Wells Fargo Bank, Na Raleigh NC 06/2023 Present
North Carolina National Guard Raleigh NC 02/2009 07/2023
  • 06/2023 → Present
    Wells Fargo Clearing Services, Llc
    Raleigh, NC
  • 06/2023 → Present
    Wells Fargo Bank, Na
    Raleigh, NC
  • 02/2009 → 07/2023
    North Carolina National Guard
    Raleigh, NC
Previous Registrations
  • 2023-09-29 → 2024-05-15
    Wells Fargo Clearing Services, Llc
    Raleigh, NC
    Raleigh, NC
  • 2013-05-20 → 2015-03-19
    C2 Asset Management, Llc
    Morrisville, NC
  • 2012-01-23 → 2012-04-11
    Rj20, Inc.
    Chapel Hill, NC
    Durham, NC
  • 2005-05-17 → 2012-01-23
    Cic Advisers, Llc
    Raleigh, NC
    Raleigh, NC
  • 2005-01-03 → 2005-05-10
    Truist Investment Services, Inc.
    Raleigh, NC
  • 2002-09-30 → 2005-01-03
    Ncf Financial Services, Inc.
    Raleigh, NC
  • 2002-02-05 → 2002-09-30
    Invest Financial Corporation
    Raleigh, NC
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2024-02-03
S66 Uniform Combined State Law Examination 2001-12-13
  • S63 Uniform Securities Agent State Law Examination
    2024-02-03
  • S66 Uniform Combined State Law Examination
    2001-12-13
Designations
Other Names
  • Lyle Dean Finley
  • Chip Finley
  • Lyle Dean Finley
  • Lyle D Finley

View on SEC IAPD

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