Joseph McGinn has been Vice President of Brown, Lisle/Cummings since January 2011, is a control person of the firm and directly owns between 10% and 25% of it. Joseph McGinn holds a Certificate of Financial Planning from Boston University. Joseph McGinn studied at Williams College.
Brown, Lisle/Cummings, Inc. is a Providence, RI firm with $487M under management, 238 clients and 8 advisers in one office, as of its June 2026 filing.
Joseph H. McGinn, Jr. is Partner of Brown Lisle Cummings. He has been with the firm since 1996. Before joining, he spent four years at Prudential Securities, after a year teaching and coaching at the Oxford Academy in Connecticut. He is the past President and Chairman of the Financial Planners of Rhode Island.
- Brown, Lisle/Cummings, IncCurrent– present · 19 yearsProvidence, RI · Adviser representative · Firm CRD 1331
Professional designations
Listed by Brown, Lisle/Cummings
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Joseph McGinn is registered as an investment adviser representative in Rhode Island, since May 2007.
- Rhode IslandSince 8 May 2007
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 22 December 2010 |
| Series 65 | Uniform Investment Adviser Law Examination | 7 May 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 May 1993 |
| Series 7 | General Securities Representative Examination | 24 May 1993 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Joseph Hugh McGinn
- CRD
- 2354164
- Firm
- Brown, Lisle/Cummings · CRD 1331
- Role
- Vice President
- Office
- 56 EXCHANGE TERRACE SUITE 300, Providence, RI 02903-1772
- Registration
- Investment adviser and broker registrations
- In the industry since
- June 1993
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- brownlc.com
Where does Joseph McGinn work?
Joseph McGinn has been Vice President of Brown, Lisle/Cummings, Inc. since January 2011, and is a control person of the firm.
Is Joseph McGinn a financial advisor?
Yes. Joseph McGinn has a current investment-adviser registration in Rhode Island, through Brown, Lisle/Cummings since May 2007.
How many years of experience does Joseph McGinn have?
Joseph McGinn has 33 years in the financial industry, since June 1993, across 1 adviser firm.
What exams has Joseph McGinn passed?
Joseph McGinn has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 24 and Series 99TO. The earliest, the Series 7, was passed in May 1993. FINRA credited Joseph McGinn with the SIE, which began in October 2018.
Where is Joseph McGinn based?
Joseph McGinn’s registered office is in Providence, RI.
Is Joseph McGinn registered with FINRA?
Yes. Joseph McGinn has a current broker registration, under CRD 2354164.
Source: FINRA BrokerCheck
Is Joseph McGinn a CFP?
Brown, Lisle/Cummings lists Joseph McGinn with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Joseph McGinn’s record?
Search CRD 2354164 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Joseph McGinn’s full registration record.