Steven A. Helland

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 1504089

Professional summary

Steven A Helland, who also goes by Steven Anthony Helland, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1986. Steven has worked at 10 firms and has passed the Series 63, Series 65, Series 82TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steven Anthony Helland

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 Steven A Helland'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

March 17, 2022 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

November 2, 2021 - December 9, 2021

FRONTIER SOLUTIONS, LLC

CRD#: 136102

RICHMOND, VA

Past

October 2, 2013 - July 31, 2015

ESPOSITO PARTNERS, LLC

RIA

CRD#: 147373

DALLAS, TX

Past

December 22, 2012 - January 3, 2013

CAPFI PARTNERS LLC

CRD#: 113795

NEW YORK, NY

Past

December 22, 2012 - July 31, 2015

ESPOSITO SECURITIES, LLC

CRD#: 143710

DALLAS, TX

Past

September 24, 2004 - March 28, 2013

SSR CAPITAL PARTNERS, LP

RIA

CRD#: 128051

DALLAS, TX

Past

December 2, 2002 - March 28, 2003

FULCRUM GLOBAL PARTNERS LLC

CRD#: 104455

NEW YORK, NY

Past

February 28, 2000 - May 29, 2001

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

Past

April 21, 1987 - January 20, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 20, 1986 - February 18, 1987

SALOMON BROTHERS INC.

CRD#: 740

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
(3/15/2024)

North Carolina
(1/6/2023)

Pennsylvania
(1/23/2024)

Texas
(5/10/2022)

Exams

State Security Law Exam

Series 63

Date: 11/5/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/30/2003

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 82TO

Date: 11/2/2021

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 9/10/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/28/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 7/24/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/24/2000

General Securities Sales Supervisor - Options Module 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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Advisor Monitoring

Firm Stability Insights

Steven A. Helland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven A Helland's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRONTIER SOLUTIONS, LLC

ESPOSITO PARTNERS, LLC

CAPFI PARTNERS LLC

ESPOSITO SECURITIES, LLC

SSR CAPITAL PARTNERS, LP

FULCRUM GLOBAL PARTNERS LLC

ABN AMRO SECURITIES LLC

PRUDENTIAL EQUITY GROUP, LLC

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/5/2021

Series 65

Date: 6/30/2003

Series 82TO

Date: 11/2/2021

SIE

Date: 9/10/2019

Series 7

Date: 12/21/2012

Series 24

Date: 7/28/2000

Series 10

Date: 7/24/2000

Series 9

Date: 7/24/2000

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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