Nancy Caldarola
Professional summary
Nancy Caldarola, who also goes by Tex Caldarola, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Nancy is registered as a RR (Registered Representative) and started their career in finance in 1990. Nancy has worked at 6 firms and has passed the Series 63, SIE, Series 82 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nancy Caldarola's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 16, 2023 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003October 17, 2019 - June 11, 2021
IBN FINANCIAL SERVICES, INC.
May 10, 2018 - December 17, 2018
AVALON SECURITIES, LTD.
August 11, 2015 - June 20, 2016
ALPHASOURCE CAPITAL SECURITIES LLC
October 3, 2012 - June 24, 2013
GROWTH CAPITAL SERVICES, INC.
October 29, 1990 - November 14, 1996
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/17/2024)
(1/22/2024)
(3/9/2023)
(12/14/2023)
Exams
FINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
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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