James C. Bridgman

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 1541287

Professional summary

James Carey Bridgman, who also goes by Jim Bridgman, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1986. James has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Bridgman

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 James Carey Bridgman'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

January 14, 2025 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

February 11, 2020 - December 23, 2024

AVALON SECURITIES, LTD.

CRD#: 30522

NEW YORK, NY

Past

July 21, 2018 - February 7, 2020

DCF, LLC

CRD#: 149102

CHATTANOOGA, TN

Past

March 26, 2010 - December 20, 2017

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

March 11, 2008 - December 23, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CHICAGO, IL

Past

May 29, 2007 - December 23, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CHICAGO, IL

Past

January 1, 2007 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

CHICAGO, IL

Past

April 12, 1996 - October 23, 2006

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

October 15, 1993 - May 19, 1995

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

November 28, 1989 - October 15, 1993

AELTUS CAPITAL, INC

CRD#: 24928

HARTFORD, CT

Past

August 13, 1986 - December 20, 1989

AETNA FINANCIAL SERVICES, INC.

CRD#: 13255

HARTFORD, CT

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
(1/14/2025)

Illinois
(1/14/2025)

Louisiana
(1/14/2025)

New York
(1/14/2025)

Oklahoma
(1/14/2025)

Texas
(1/14/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 3/10/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/2/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/18/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/11/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/24/2002

General Securities 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

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

James C. Bridgman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Carey Bridgman's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVALON SECURITIES, LTD.

DCF, LLC

NORTHERN TRUST SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

NORTHERN TRUST SECURITIES, INC.

VOYA FINANCIAL PARTNERS, LLC

AELTUS CAPITAL, INC

AETNA FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/10/2008

Series 63

Date: 12/2/1991

SIE

Date: 10/1/2018

Series 7

Date: 5/18/2001

Series 6

Date: 8/11/1986

Series 24

Date: 6/24/2002

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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