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MARK ROBERT FINNEY
CRD#: 5036101
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Investment Adviser
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Previous Broker
MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLCCRD#: 328478 127 W. 5TH STREET
MARYSVILLE, OH 43040
Registration History
200620082010201220142016201820202022202420262 FIRMS2010 - 2011 (1 year)2 FIRMS2011 - 2015 (4 years)2 FIRMS2015 - 2023 (8 years)IAMCCARTHY & COX RETIREMENT & ES... (CRD# 328478)2023 - Present (1 year)BTRANSAMERICA CAPITAL, INC. (CRD# 8217)2007 - 2010 (2 years)BNATCITY INVESTMENTS, INC. (CRD# 17490)2005 - 2007 (1 year)
License(s)

State Registrations

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Ohio 12/22/2023

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Texas 12/21/2023

Current Registration(s)
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MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC (CRD#:328478)
127 W. 5TH STREET, MARYSVILLE, OH 43040
Registered with this firm since 12/21/2023

Previous Registration(s)
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10/30/2015 - 12/31/2023 COMMONWEALTH FINANCIAL NETWORK (CRD#:8032) MARYSVILLE, OH
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10/30/2015 - 12/31/2023 COMMONWEALTH FINANCIAL NETWORK (CRD#:8032) MARYSVILLE, OH
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04/27/2011 - 11/03/2015 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) COLUMBUS, OH
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04/25/2011 - 11/03/2015 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) COLUMBUS, OH
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02/10/2010 - 04/25/2011 PNC INVESTMENTS (CRD#:129052) COLUMBUS, OH
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01/15/2010 - 04/25/2011 PNC INVESTMENTS (CRD#:129052) COLUMBUS, OH
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09/05/2007 - 01/05/2010 TRANSAMERICA CAPITAL, INC. (CRD#:8217) DENVER, CO
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11/01/2005 - 08/28/2007 NATCITY INVESTMENTS, INC. (CRD#:17490) WESTERVILLE, OH
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.