John M. Pagli

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 1287402

Professional summary

John Michael Pagli, who also goes by John Michael Pagli Jr, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

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

Question & Answer

Are you a "fiduciary"?

Aliases

John Michael Pagli Jr

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.

Invictus Impact Capital Partners LLC, Founder & CEO, sourcing and selling high quality private investment offerings to qualified investors. Investment related. Approximately 160 hours per month most during securities trading hours. Invictus Advisors, LLC, Founder, consulting and advisory services, generally engaged for consulting and guidance as a subject matter expert, investment related, approximately 0-10 hours per month, most during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Michael Pagli'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

November 6, 2025 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

July 22, 2022 - December 4, 2024

PRIME OPPORTUNITIES INVESTMENT GROUP LLC

RIA

CRD#: 146944

Madison, CT

Past

July 21, 2021 - October 7, 2025

STONEHAVEN, LLC

CRD#: 118913

NEW YORK, NY

Past

August 23, 2019 - July 23, 2020

EAGLES COAST WEALTH MANAGEMENT, LLC

RIA

CRD#: 297423

MOUNT PLEASANT, SC

Past

January 2, 2008 - April 24, 2008

PURSUIT PARTNERS LLC

CRD#: 115014

GREENWICH, CT

Past

March 2, 2007 - July 20, 2007

PROCTOR INVESTMENT DISTRIBUTORS, LLC

CRD#: 141946

NEW YORK, NY

Past

October 9, 2006 - March 2, 2007

OVERTURE SECURITIES LLC

CRD#: 132350

NEW YORK, NY

Past

July 7, 2005 - May 31, 2006

WEDGE SECURITIES, LLC

CRD#: 126776

DENVER, CO

Past

October 24, 2001 - April 2, 2002

ALPHA SECURITIES CORP.

CRD#: 36876

NEW YORK, NY

Past

February 9, 1995 - October 17, 1995

FORUM CAPITAL MARKETS LLC

CRD#: 30867

OLD GREENWICH, CT

Past

November 20, 1992 - February 17, 1993

S.N. PHELPS & CO.

CRD#: 18341

Past

December 9, 1991 - September 1, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 24, 1984 - November 12, 1985

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

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

Connecticut
(11/6/2025)

Exams

State Security Law Exam

Series 63

Date: 7/30/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/23/2019

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/21/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/18/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/20/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/6/2005

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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Advisor Monitoring

Firm Stability Insights

John M. Pagli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Michael Pagli's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIME OPPORTUNITIES INVESTMENT GROUP LLC

STONEHAVEN, LLC

EAGLES COAST WEALTH MANAGEMENT, LLC

PURSUIT PARTNERS LLC

PROCTOR INVESTMENT DISTRIBUTORS, LLC

OVERTURE SECURITIES LLC

WEDGE SECURITIES, LLC

ALPHA SECURITIES CORP.

FORUM CAPITAL MARKETS LLC

S.N. PHELPS & CO.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/30/2021

Series 65

Date: 8/23/2019

Series 7TO

Date: 7/21/2021

SIE

Date: 6/18/2021

Series 3

Date: 12/20/2006

Series 7

Date: 7/6/2005

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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