AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RF

Robert J. Finnerty

LIVERMORE TRADING GROUP
New York, NY 10005
Some features on this profile are disabled
CRD#: 4324883
RF

Professional summary

Robert James Finnerty, who also goes by Robert J Finnerty, is a registered financial professional currently at LIVERMORE TRADING GROUP, INC. located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2001. Robert has worked at 5 firms and has passed the Series 7A and Series 25 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert J Finnerty

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert James Finnerty's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 15, 2007 - Present

LIVERMORE TRADING GROUP, INC.

Office #1: 11 Wall Street, New York, NY 10005
BD
CRD#: 32968
New York, NY
Past

July 28, 2004 - November 15, 2007

MIDWOOD SECURITIES, INC.

BD
CRD#: 21520
NEW YORK, NY
Past

November 19, 2002 - July 20, 2004

LOMBARDI & CO., INC.

BD
CRD#: 44810
NEW YORK, NY
Past

May 9, 2001 - November 12, 2002

LABRANCHE FINANCIAL SERVICES, LLC

BD
CRD#: 7432
NEW YORK, NY
Past

January 16, 2001 - November 8, 2002

BAY CREST PARTNERS, LLC

BD
CRD#: 39944
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7A
Date: 6/30/2004
Floor Broker Representative Exam
General Industry/Product Exam
RR
Series 25
Date: 6/14/2001
NYSE Trading Assistant Examination
SRO Registrations
RR
New York Stock Exchange

Current Firm

LT
LIVERMORE TRADING GROUP, INC.
LIVERMORE TRADING GROUP, INC. | MALBIN SECURITIES CORP

CRD#: 32968 / SEC#: , 8-45248

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
11 Wall Street, New York, NY 10005
Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038
Phone number
(212) 742-0460
Established
New York since 10/09/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FINNERTY, ROBERT JAMESNON-VOTING SHAREHOLDER4324883
MCKENNA, PETERNON-VOTING SHAREHOLDER5200388
FITZGERALD, HEATHER MARIEFINOP/PFO/POO4427665
NAPOLITANO, VINCENT FRANKPRES/CEO/SECRETARY/TREASURER/CCO/COO/DIRECTOR/VOTING SHAREHOLDER3109342

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

LIVERMORE TRADING GROUP, INC.

CRD#: 32968New York, NY 10005

TRUST BUT VERIFY

Monitor Robert Finnerty

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics