David W. Mortimer

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 1337873

Professional summary

David Walter Mortimer is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1986. David has worked at 17 firms and has passed the Series 63, SIE, Series 79, Series 3, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Walter Mortimer'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 1, 2024 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

March 31, 2022 - October 30, 2023

WALLACHBETH CAPITAL LLC

CRD#: 147853

BOCA RATON, FL

Past

June 18, 2018 - January 28, 2021

WALLACHBETH CAPITAL LLC

CRD#: 147853

BOCA RATON, FL

Past

October 8, 2014 - October 9, 2017

SENAHILL SECURITIES, LLC

CRD#: 166477

NEW YORK, NY

Past

July 31, 2009 - November 30, 2011

ARITAS SECURITIES LLC

CRD#: 128453

NEW HOPE, PA

Past

January 4, 2008 - January 4, 2010

MILSTREAM SECURITIES LLC

CRD#: 38771

NEW HOPE, PA

Past

November 19, 2004 - May 24, 2006

PIPER SANDLER & CO.

CRD#: 665

NEW YORK, NY

Past

April 1, 2003 - September 15, 2003

VIE INSTITUTIONAL SERVICES, INC.

CRD#: 47437

PHILADELPHIA, PA

Past

March 27, 2003 - December 7, 2004

VIE SECURITIES, LLC

CRD#: 47786

NEW YORK, NY

Past

September 12, 2002 - January 7, 2003

KNIGHT EXECUTION PARTNERS LLC

CRD#: 104228

CHICAGO, IL

Past

October 12, 2001 - December 16, 2002

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

January 16, 2001 - March 6, 2001

SIG BROKERAGE, LP

CRD#: 100400

NEW YORK, NY

Past

January 10, 2001 - March 6, 2001

SAL EQUITY TRADING, GP

CRD#: 29337

BALA CYNWYD, PA

Past

March 16, 2000 - March 6, 2001

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865

BALA CYNWYD, PA

Past

February 7, 1997 - March 23, 2000

M BARC INVESTMENT GROUP, INC.

CRD#: 41082

MIDDLETON, WI

Past

May 21, 1992 - March 28, 1995

QUAKER SECURITIES, INC.

CRD#: 27263

MALVERN, PA

Past

October 9, 1989 - February 18, 1992

CHASE SECURITIES, INC.

CRD#: 10793

NEW YORK, MD

Past

July 29, 1986 - August 1, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

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

California
(2/17/2025)

Illinois
(5/1/2024)

New Hampshire
(10/16/2025)

New Jersey
(10/8/2024)

New York
(5/1/2024)

Pennsylvania
(5/1/2024)

Virginia
(8/7/2024)

Exams

State Security Law Exam

Series 63

Date: 12/15/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 3/30/2015

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 3

Date: 7/10/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/11/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 12/5/1989

Registered Options Principal 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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

David W. Mortimer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Walter Mortimer's CRS (Customer Relationship Summary).

Certified licenses

Experience

WALLACHBETH CAPITAL LLC

WALLACHBETH CAPITAL LLC

SENAHILL SECURITIES, LLC

ARITAS SECURITIES LLC

MILSTREAM SECURITIES LLC

PIPER SANDLER & CO.

VIE INSTITUTIONAL SERVICES, INC.

VIE SECURITIES, LLC

KNIGHT EXECUTION PARTNERS LLC

KNIGHT CAPITAL AMERICAS, L.P.

SIG BROKERAGE, LP

SAL EQUITY TRADING, GP

SUSQUEHANNA FINANCIAL GROUP, LLLP

M BARC INVESTMENT GROUP, INC.

QUAKER SECURITIES, INC.

CHASE SECURITIES, INC.

THOMSON MCKINNON SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/15/2014

SIE

Date: 10/1/2018

Series 79

Date: 3/30/2015

Series 3

Date: 7/10/1989

Series 7

Date: 7/19/1986

Series 24

Date: 5/11/2004

Series 4

Date: 12/5/1989

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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