Michael Finnan has been Chief Compliance Officer & CEO of First American Asset Advisory since January 2019, is a control person of the firm and directly owns between 50% and 75% of it. Michael Finnan studied at West Virginia University.
First American Asset Advisory, LLC. is a Garden City, NY firm with $192M under management, 266 clients and 6 advisers in one office, as of its March 2026 filing.
Michael Finnan is President and CCO of First American Asset Advisory, LLC. After his studies at West Virginia University he became an adviser trainee in 1992 at a newly formed firm based in Syosset, NY, and later worked at Lew Lieberbaum & Co. and as Manager and Director of Retail at E. C. Capital, Ltd. He and his team established Morgan Wilshire Securities, Inc., which opened for business in August of 1998.
- – present · 7 yearsGarden City, NY · Adviser representative · Firm CRD 282254
Investment adviser representative registrations
Michael Finnan is registered as an investment adviser representative in 2 states. The first approvals date from January 2019; the most recent is New York, in August 2021.
- New JerseySince 17 January 2019
- New YorkSince 12 August 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 11 May 2017 |
| Series 24 | General Securities Principal Examination | 4 October 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 February 1993 |
| Series 7 | General Securities Representative Examination | 1 February 1993 |
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Michael John Finnan
- CRD
- 2311960
- Firm
- First American Asset Advisory · CRD 282254
- Role
- Chief Compliance Officer & CEO
- Office
- 59 HILTON AVENUE, SUITE 101, Garden City, NY 11530
- Registration
- Investment adviser and broker registrations
- In the industry since
- February 1993
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- firstaaa.com
Where does Michael Finnan work?
Michael Finnan has been Chief Compliance Officer & CEO of First American Asset Advisory, LLC. since January 2019, and is a control person of the firm.
Is Michael Finnan a financial advisor?
Yes. Michael Finnan has a current investment-adviser registration in New Jersey and New York, through First American Asset Advisory since January 2019.
How many years of experience does Michael Finnan have?
Michael Finnan has 33 years in the financial industry, since February 1993, across 1 adviser firm.
What exams has Michael Finnan passed?
Michael Finnan has passed 6 licensing exams: the Series 7, Series 63, Series 24, Series 65, Series 14 and Series 99TO. The earliest, the Series 7, was passed in February 1993. FINRA credited Michael Finnan with the SIE, which began in October 2018.
Where is Michael Finnan based?
Michael Finnan’s registered office is in Garden City, NY.
Is Michael Finnan registered with FINRA?
Yes. Michael Finnan has a current broker registration, under CRD 2311960.
Source: FINRA BrokerCheck
How can I verify Michael Finnan’s record?
Search CRD 2311960 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Michael Finnan’s full registration record.
