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SS

Scott J. Silver

FINALIS SECURITIES LLC
SAN JUAN CAPISTRANO, CA
Some features on this profile are disabled
CRD#: 1230741
SS

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 San Juan Capistrano, California.

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"?
No

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

BD
CRD#: 305908
SAN JUAN CAPISTRANO, CA
Past

June 1, 2020 - November 4, 2021

FINALIS SECURITIES LLC

BD
CRD#: 305908
NEW YORK, NY
Past

July 18, 2018 - August 13, 2019

KIMBERLITE ADVISORS, LLC

BD
CRD#: 153501
NEW YORK, NY
Past

May 24, 2018 - July 2, 2018

BURKE & QUICK PARTNERS LLC

BD
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.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 4, 1998 - March 14, 2001

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

March 5, 1990 - September 29, 1998

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 26, 1984 - March 23, 1990

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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
Florida
(1/21/2022)

Exams

State Security Law Exam
RR
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
RR
Series 82TO
Date: 12/8/2020
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 5/3/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 7/3/1995
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1984
General Securities Representative 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)
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Contact information

Main Address
450 Lexington Ave, New York, NY 10017
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
BRANT, DAVID ROBERTFINOP2718478
DIGIGLIO, JOSEPH ANDREWCCO4945031
MORA, MICHAEL JOHNCEO2648236

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

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