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
RR

Ronald K. Rydell

FINALIS SECURITIES LLC
SAN JUAN CAPISTRANO, CA 92675
Some features on this profile are disabled
CRD#: 1036030
RR

Professional summary

Ronald Keith Rydell, CFP®, who also goes by Ron Keith Rydell, is a registered financial professional currently at FINALIS SECURITIES LLC located in San Juan Capistrano, California.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 1982. Ronald has worked at 16 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ron Keith Rydell

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 Ronald Keith Rydell's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 1985

Experience

Current

January 27, 2025 - Present

FINALIS SECURITIES LLC

Office #1: 31852 Via Puntero, San Juan Capistrano, CA 92675
BD
CRD#: 305908
SAN JUAN CAPISTRANO, CA
Past

April 23, 2020 - November 15, 2024

MID-MARKET SECURITIES, LLC

BD
CRD#: 126750
MOUNT KISCO, NY
Past

December 21, 2016 - May 11, 2018

RYDELL FINANCIAL

RIA
CRD#: 134095
BLOOMINGTON, MN
Past

October 19, 2009 - May 24, 2018

WM. H. MURPHY & CO., INC.

BD
CRD#: 27274
HOUSTON, TX
Past

June 1, 2007 - September 5, 2008

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
BLOOMINGTON, MN
Past

March 30, 2005 - July 12, 2005

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

May 11, 2001 - February 28, 2005

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ
Past

January 15, 1999 - December 31, 2000

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

December 23, 1997 - December 3, 1998

LIFEMARK SECURITIES CORP.

BD
CRD#: 16204
ROCHESTER, NY
Past

August 14, 1995 - December 31, 1995

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

October 7, 1992 - December 31, 1993

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

October 28, 1991 - September 29, 1992

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

March 9, 1989 - November 8, 1989

PW SECURITIES, INC.

BD
CRD#: 6775
Past

December 24, 1987 - December 17, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

November 4, 1986 - December 24, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

BD
CRD#: 7420
Past

March 30, 1982 - November 6, 1986

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 5774

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Minnesota
(1/27/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/19/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/19/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/24/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/1982
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/6/1983
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FINALIS SECURITIES LLC
DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: , 8-70425

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
228 Park Ave South Suite 85550, New York, NY 10003
Mailing Address
228 Park Ave South Suite 85550, New York, NY 10003
Phone number
(800) 962-0418
Established
Delaware since 09/10/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FINALIS, INC.HOLDING COMPANY
AZARY, DENNIS MICHAELCEO/CCO/FINOP2384263

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

FINALIS SECURITIES LLC

CRD#: 305908San Juan Capistrano, CA 92675

TRUST BUT VERIFY

Monitor Ronald Rydell

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

Similar Advisors

Barton S Pearce
Barton PearceAdvisorCheck Check Mark
PARK AVENUE SECURITIES LLC
IAR
RR
IRVINE, CA
Ryan Anthony Gallo
Ryan GalloAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
FULLERTON, CA
Michael Gregory Jensen
Michael JensenAdvisorCheck Check Mark
FALCON WEALTH PLANNING, INC.
IAR
Irvine, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.