Ximena L. Vaca

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 1239080

Professional summary

Ximena Lorena Vaca, who also goes by XImena Vaca Dowling, Ximena Vaca Salas, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

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

Question & Answer

Are you a "fiduciary"?

Aliases

Ximena Vaca Dowling | Ximena Vaca Salas

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 Ximena Lorena Vaca'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

January 25, 2021 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

November 3, 1989 - May 29, 1998

B. RILEY SECURITIES, INC.

CRD#: 25027

LOS ANGELES, CA

Past

July 21, 1989 - November 11, 1989

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

June 28, 1989 - July 27, 1989

HERITAGE FINANCIAL INVESTMENTS CORPORATION

CRD#: 15767

Past

June 1, 1988 - July 6, 1989

JOHNSTON, LEMON & CO. INCORPORATED

CRD#: 473

WASHINGTON, DC

Past

March 14, 1988 - June 15, 1988

BRADLEY & COMPANY, INC.

CRD#: 15576

Past

February 23, 1984 - November 19, 1984

CANACCORD GENUITY LLC

CRD#: 1020

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

District of Columbia
(1/25/2021)

Florida
(10/4/2024)

Exams

State Security Law Exam

Series 63

Date: 3/22/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 5/19/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 12/17/2021

General Securities Representative Examination

General Industry/Product Exam

Series 82TO

Date: 1/25/2021

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 11/2/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

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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Ximena L. Vaca

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ximena Lorena Vaca's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY SECURITIES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

HERITAGE FINANCIAL INVESTMENTS CORPORATION

JOHNSTON, LEMON & CO. INCORPORATED

BRADLEY & COMPANY, INC.

CANACCORD GENUITY LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/22/2021

Series 79TO

Date: 5/19/2023

Series 7TO

Date: 12/17/2021

Series 82TO

Date: 1/25/2021

SIE

Date: 11/2/2020

Series 7

Date: 1/16/1988

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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