Robert W. Cook

FINALIS SECURITIES

NEW YORK, NY 10017

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CRD#: 1734775

Professional summary

Robert William Cook, who also goes by Robert William Cook Jr, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1987. Robert has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Aliases

Robert William Cook Jr

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 Robert William Cook'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

September 9, 2026 - Present

FINALIS SECURITIES LLC

Office #1: 450 Lexington Ave, New York, NY 10017

CRD#: 305908

NEW YORK, NY

Past

September 15, 2024 - September 2, 2026

OLD CITY SECURITIES LLC

CRD#: 171910

NEW YORK, NY

Past

July 17, 2019 - August 12, 2024

STONEHAVEN, LLC

CRD#: 118913

NEW YORK, NY

Past

March 21, 2001 - May 11, 2017

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NEW YORK, NY

Past

August 4, 1995 - December 6, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 20, 1987 - September 7, 1993

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

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
(9/9/2026)

Connecticut
(9/10/2026)

Florida
(9/10/2026)

New York
(9/18/2026)

Exams

What does exam status mean?

State Security Law Exam

Series 63

Status Unavailable

Passed: 9/13/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 5/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 10/17/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Status Unavailable

Passed: 10/20/2011

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FINALIS, INC.	HOLDING COMPANY
BRANT, DAVID ROBERT	FINOP	2718478
MORA, MICHAEL JOHN	CEO	2648236
PRICE, STEVEN BENNETT	CHIEF COMPLIANCE OFFICER	5535145

Red Flags

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

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Robert W. Cook

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert William Cook's CRS (Customer Relationship Summary).

Certified licenses

Experience

OLD CITY SECURITIES LLC

STONEHAVEN, LLC

SANFORD C. BERNSTEIN & CO., LLC

UBS FINANCIAL SERVICES INC.

DEUTSCHE BANK SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Passed: 9/13/2019

SIE

Passed: 5/11/2017

Series 7

Passed: 10/17/1987

Series 24

Passed: 10/20/2011

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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