Kevin P. Berry

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 1646442

Professional summary

Kevin Patrick Berry, who also goes by Kevin Berry, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1987. Kevin has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kevin Berry

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 Kevin Patrick Berry'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

July 26, 2022 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

January 6, 2020 - June 6, 2022

D.A. DAVIDSON & CO.

CRD#: 199

IRVINE, CA

Past

December 4, 2018 - October 3, 2019

DRAKE STAR SECURITIES LLC

CRD#: 131338

NEW YORK, NY

Past

July 7, 2014 - July 24, 2018

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708

SAN FRANCISCO, CA

Past

May 4, 2001 - March 17, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

May 4, 2001 - March 17, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 1, 1998 - May 25, 2001

ROBERTSON STEPHENS, INC.

CRD#: 41271

SAN FRANCISCO, CA

Past

July 29, 1998 - September 1, 1998

BANCAMERICA SECURITIES, INC.

CRD#: 17977

SAN FRANCISCO, CA

Past

May 3, 1996 - July 30, 1998

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

Past

April 14, 1994 - May 16, 1995

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

October 20, 1987 - March 2, 1994

J.P. MORGAN SECURITIES LLC

CRD#: 79

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
(7/26/2022)

Exams

State Security Law Exam

Series 63

Date: 6/4/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/26/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 7/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 7/7/2014

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 10/17/1987

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

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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

Kevin P. Berry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Patrick Berry's CRS (Customer Relationship Summary).

Certified licenses

Experience

D.A. DAVIDSON & CO.

DRAKE STAR SECURITIES LLC

HOULIHAN LOKEY CAPITAL, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

ROBERTSON STEPHENS, INC.

BANCAMERICA SECURITIES, INC.

HAMBRECHT & QUIST LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/4/2014

Series 65

Date: 7/26/1999

SIE

Date: 7/24/2018

Series 79

Date: 7/7/2014

Series 7

Date: 10/17/1987

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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