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JB

John D. Bulicek

FINALIS SECURITIES LLC
New York City, NY 10036
Some features on this profile are disabled
CRD#: 1636362
JB

Professional summary

John David Bulicek is a registered financial professional currently at FINALIS SECURITIES LLC located in New York City, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1987. John has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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 John David Bulicek'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 13, 2024 - Present

FINALIS SECURITIES LLC

Office #1: 530 5th Avenue 9th Floor, New York City, NY, 10036
BD
CRD#: 305908
New York City, NY
Past

January 15, 2020 - November 13, 2024

AVALON SECURITIES, LTD.

BD
CRD#: 30522
NEW YORK, NY
Past

July 28, 2017 - September 25, 2019

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

March 14, 2011 - May 20, 2018

SHORELINEAMBROSE ADVISORS, LLC

BD
CRD#: 141046
SAN DIEGO, CA
Past

November 27, 2006 - February 3, 2009

SWEDBANK SECURITIES US, LLC

BD
CRD#: 141190
NEW YORK, NY
Past

October 21, 2003 - March 31, 2006

PORTIGON SECURITIES INC.

BD
CRD#: 10050
NEW YORK, NY
Past

June 28, 1999 - February 14, 2003

COMMERZBANK CAPITAL MARKETS CORP.

BD
CRD#: 21787
NEW YORK, NY
Past

April 9, 1998 - May 24, 1999

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

May 21, 1987 - June 10, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

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
California
(11/13/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/28/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
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#: 305908New York City, NY 10036

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