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MS

Michael F. Sciortino

FINALIS SECURITIES LLC
New York, NY 10003
Some features on this profile are disabled
CRD#: 1233471
MS

Professional summary

Michael Frank Sciortino, who also goes by Michael Frank Sciortino Sr, Mike Sciortino, Sciortino, Michael F Sciortino, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1984. Michael has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Frank Sciortino Sr | Mike Sciortino | Sciortino | Michael F Sciortino

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.
1)LTN PROPERTIES, LLC, INVESTMENT RELATED, MANDEVILLE, LA, OWNER, MANAGING MEMBER, BUY PROPERTIES, 2H/WEEK, SINCE 06/2020 2)MOTIVATIONAL MENTORING NETWORK, LLC, NOT INVESTMENT RELATED, MANDEVILLE, LA, MANAGING MEMBER, OWNER, PROMOTE, ADVOCATE, MAKE INTRODUCTIONS FOR MENTORING AND IMPLEMENTING ACTIVITIES FOR BUSINESS OWNERS, 10H/WEEK, 2H/WEEK DURING TRADING HOURS, SINCE 02/2004. 3)SCHEXNAYDER WEALTH ADVISORS, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, INVESTMENT-RELATED DBA, ADMINISTRATIVE ROLE, 2H/WEEK, SINCE 02/2021.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Frank Sciortino'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

March 1, 2023 - Present

FINALIS SECURITIES LLC

Office #1: 228 Park Ave South Suite 85550, New York, NY 10003
BD
CRD#: 305908
New York, NY
Past

February 23, 2021 - February 28, 2023

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
LAPLACE, LA
Past

February 19, 2021 - February 28, 2023

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
LAPLACE, LA
Past

September 30, 2019 - February 22, 2021

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
LAPLACE, LA
Past

September 25, 2019 - February 22, 2021

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
LaPlace, LA
Past

March 23, 2018 - February 11, 2019

CAPITAL WEALTH PLANNING, LLC

RIA
CRD#: 150764
Naples, FL
Past

April 3, 2017 - December 6, 2017

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
LAPLACE, LA
Past

November 19, 2013 - July 16, 2015

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
ELKHORN, NE
Past

July 19, 2012 - July 20, 2015

CMG CAPITAL MANAGEMENT GROUP, INC.

RIA
CRD#: 110750
MALVERN, PA
Past

October 29, 2004 - May 15, 2012

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
MANDEVILLE, LA
Past

September 13, 2000 - August 22, 2003

OFI PRIVATE INVESTMENTS INC

RIA
CRD#: 107807
NEW YORK, NY
Past

June 26, 1990 - April 3, 2003

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

October 21, 1987 - July 3, 1990

ASTRA FUND DISTRIBUTORS CORP.

BD
CRD#: 6930
LOS ANGELES, CA
Past

May 21, 1986 - August 28, 1987

COLONIAL INVESTMENT SERVICES, INC.

BD
CRD#: 167
Past

March 7, 1984 - May 22, 1986

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

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
Louisiana
(3/1/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/22/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/1/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/6/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/1/1984
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
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#: 305908New York, NY 10003

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