Thomas James Finnegan
Investment Adviser Representative at Osaic Wealth, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Thomas James Finnegan is an investment adviser representative with Osaic Wealth, Inc. in New York, NY, where they have been registered since 2024. They have worked in the securities industry since 1983 and were previously registered with American Portfolios Advisors, Inc. They have passed 8 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in 12 states.
Registrations & licenses
- Investment adviser:
- California, Connecticut, Florida, Georgia, Michigan, New York, North Carolina, Oregon, Pennsylvania, South Carolina, Texas, Virginia
- Broker:
32 states and territories
Alabama, Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Indiana, Iowa, Louisiana, Maine, Maryland, Massachusetts, Michigan, Montana, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Vermont, Virginia, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- American Portfolios Financial Services, IncJan 2002 – Oct 2024Huntington, NY
- Osaic Wealth, Inc.Oct 2024 – no end date reportedScottsdale, AZ
Official records & sources
Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Osaic Wealth, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Firm account minimum
- $5,500 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 8,271
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Scottsdale, AZ
- SEC file number:
- 801-54859
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 29, 2026
View full firm profileOther advisors at Osaic Wealth, Inc.
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas James Finnegan has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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