Scott J. Silver

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 1230741

Professional summary

Scott J Silver, who also goes by Scott J Silver, Scott Jonathan Silver, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1984. Scott has worked at 6 firms and has passed the Series 63, Series 65, Series 82TO, SIE, Series 79, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott J Silver | Scott Jonathan Silver

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 Scott J Silver'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®

None

Experience

Current

December 10, 2021 - Present

FINALIS SECURITIES LLC

Office #1: 228 Park Ave South Suite 85550, New York, NY 10003

CRD#: 305908

New York, NY

Past

June 1, 2020 - November 4, 2021

FINALIS SECURITIES LLC

CRD#: 305908

NEW YORK, NY

Past

July 18, 2018 - August 13, 2019

KIMBERLITE ADVISORS, LLC

CRD#: 153501

NEW YORK, NY

Past

May 24, 2018 - July 2, 2018

BURKE & QUICK PARTNERS LLC

CRD#: 153521

UNIONDALE, NY

Past

April 19, 2001 - May 27, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

STAMFORD, CT

Past

February 21, 2001 - May 27, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 4, 1998 - March 14, 2001

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

March 5, 1990 - September 29, 1998

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 26, 1984 - March 23, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

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

Florida
(1/21/2022)

Michigan
(3/27/2025)

Exams

State Security Law Exam

Series 63

Date: 7/30/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/7/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 82TO

Date: 12/8/2020

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 5/3/2018

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 3

Date: 7/3/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/21/1984

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FINALIS SECURITIES LLC

DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

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

Broker-Dealer Firm Regulated by FINRA (New York district office)

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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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Advisor Monitoring

Firm Stability Insights

Scott J. Silver

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott J Silver's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINALIS SECURITIES LLC

KIMBERLITE ADVISORS, LLC

BURKE & QUICK PARTNERS LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

UBS SECURITIES LLC

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/30/2018

Series 65

Date: 3/7/1996

Series 82TO

Date: 12/8/2020

SIE

Date: 10/1/2018

Series 79

Date: 5/3/2018

Series 3

Date: 7/3/1995

Series 7

Date: 1/21/1984

FINRA

Current Firm

FINALIS SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FINALIS SECURITIES LLC

TRUST BUT VERIFY

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