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CB

Claire A. Bailey

FINALIS SECURITIES
New York, NY 10017
CRD#: 1247313
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CB
Claire Allyn BaileyFINALIS SECURITIES

Professional summary

Claire Allyn Bailey, who also goes by Claire Allyn Bailey, Claire A Bailey, Claire Bailey Johnson, Claire Bailey Peters, Claire Bailey Riordan, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Claire is registered as a RR (Registered Representative) and started their career in finance in 1984. Claire has worked at 22 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Claire Allyn Bailey | Claire A Bailey | Claire Bailey Johnson | Claire Bailey Peters | Claire Bailey Riordan

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 Claire Allyn Bailey'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

May 26, 2026 - Present

FINALIS SECURITIES LLC

Office #1: 450 Lexington Ave., New York, NY 10017
BD
CRD#: 305908
New York, NY
Past

August 29, 2025 - June 17, 2026

LEGACY PRIVATE CLIENT SERVICES

RIA
CRD#: 331736
Fort Lauderdale, FL
Past

October 10, 2023 - May 30, 2024

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL
Past

June 13, 2023 - October 5, 2023

LIQUIDITY.IO, LLC

BD
CRD#: 289499
BOCA GRANDE, FL
Past

April 26, 2021 - December 22, 2021

EXEMPLAR CAPITAL, LLC

BD
CRD#: 155786
New York, NY
Past

September 30, 2020 - January 30, 2023

ENTORO INVESTMENTS, LLC

RIA
CRD#: 306790
New York, NY
Past

December 21, 2018 - January 4, 2019

STONERIDGE INVESTMENT PARTNERS

RIA
CRD#: 109261
RADNOR, PA
Past

December 19, 2018 - December 10, 2020

PICKWICK CAPITAL PARTNERS, LLC

BD
CRD#: 130672
WHITE PLAINS, NY
Past

February 26, 2015 - January 3, 2017

BLUESTONE CAPITAL MANAGEMENT, LLC

RIA
CRD#: 157841
WAYNE, PA
Past

February 10, 2015 - January 3, 2017

MCG SECURITIES LLC

BD
CRD#: 163144
WAYNE, PA
Past

August 29, 2013 - April 18, 2014

PHILADELPHIA BROKERAGE CORPORATION

BD
CRD#: 25534
RADNOR, PA
Past

March 8, 2011 - October 12, 2011

CV BROKERAGE, INC

BD
CRD#: 462
WILLIAMSTOWN, NJ
Past

February 15, 2011 - March 17, 2011

GREENTREE BROKERAGE SERVICES, INC.

BD
CRD#: 45316
PHILADELPHIA, PA
Past

June 4, 2010 - February 9, 2011

DREXEL HAMILTON, LLC

BD
CRD#: 143570
PHILADELPHIA, PA
Past

March 22, 2010 - April 26, 2010

BEANPOT FINANCIAL SERVICES, INC.

BD
CRD#: 39549
GLENCOE, IL
Past

April 17, 2007 - August 28, 2008

LIME TRADING CORP

BD
CRD#: 11826
NEW YORK, NY
Past

November 4, 2005 - December 31, 2006

CRESAP, INC.

BD
CRD#: 25899
RADNOR, PA
Past

March 14, 2003 - December 18, 2003

POTOMAC CAPITAL MARKETS, LLC

BD
CRD#: 39800
MIDDLETOWN, MD
Past

September 20, 1991 - December 22, 1993

STOCKTON EQUITIES GROUP

BD
CRD#: 18262
Past

May 30, 1990 - May 14, 1991

MARK TWAIN BROKERAGE SERVICES, INC.

BD
CRD#: 16925
Past

April 6, 1987 - June 13, 1990

ALVERY BARTLETT BROKERAGE CO.

BD
CRD#: 13487
Past

May 22, 1984 - December 4, 1985

CIBC WORLD MARKETS CORP.

BD
CRD#: 630

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
(5/26/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/26/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/20/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/3/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/3/2003
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)

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#: 305908New York, NY 10017

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