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DB

David N. Barenborg

FINALIS SECURITIES LLC
SAN JUAN CAPISTRANO, CA
Some features on this profile are disabled
CRD#: 1248564
DB

Professional summary

David N Barenborg, who also goes by David Naess Barenborg, is a registered financial professional currently at FINALIS SECURITIES LLC located in San Juan Capistrano, California.

David is registered as a RR (Registered Representative) and started their career in finance in 1984. David has worked at 13 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Naess Barenborg

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 David N Barenborg'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

July 14, 2023 - Present

FINALIS SECURITIES LLC

BD
CRD#: 305908
SAN JUAN CAPISTRANO, CA
Past

January 25, 2021 - April 25, 2023

GREENWICH CAPITAL PARTNERS, LLC

BD
CRD#: 305693
GREENWICH, CT
Past

October 24, 2005 - October 9, 2007

QUELLOS FUND SERVICES, LLC

BD
CRD#: 137247
SEATTLE, WA
Past

July 14, 2005 - October 9, 2007

QUELLOS PRIVATE CAPITAL MARKETS, L.P.

RIA
CRD#: 135935
SEATTLE, WA
Past

September 16, 2003 - March 15, 2004

QUELLOS FIXED INCOME ADVISORS LLC

RIA
CRD#: 108912
SEATTLE, WA
Past

September 16, 2003 - October 9, 2007

QUELLOS CAPITAL MANAGEMENT LP

RIA
CRD#: 106683
SEATTLE, WA
Past

April 16, 2002 - October 24, 2005

CFT SECURITIES, LLC

BD
CRD#: 46226
PRINCETON, NJ
Past

April 2, 1996 - April 1, 2002

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

March 10, 1992 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

BD
CRD#: 7242
Past

March 10, 1992 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.

BD
CRD#: 19655
Past

March 10, 1992 - February 29, 1996

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

March 6, 1986 - February 20, 1992

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

March 22, 1984 - October 16, 1985

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613

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
Idaho
(7/14/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 2/17/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/20/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/25/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/8/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/10/2002
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 10/6/1997
General Securities Sales Supervisor Examination (Options Module & General Module)
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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