Eric S. Philo
Professional summary
Eric Scott Philo, who also goes by Eric Philo, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Eric is registered as a RR (Registered Representative) and started their career in finance in 1983. Eric has worked at 5 firms and has passed the Series 63, SIE, Series 79, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Scott Philo's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 3, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003August 24, 2013 - December 23, 2024
AVALON SECURITIES, LTD.
April 16, 2009 - December 2, 2009
MAGNOLIA SECURITIES RESEARCH LLC
May 17, 1998 - January 24, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 21, 1983 - May 28, 1996
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/3/2025)
Exams
FINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
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.
