David N. Bowman
Professional summary
David Neff Bowman is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2009. David has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Neff Bowman's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 11, 2021 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003January 27, 2014 - July 7, 2021
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - July 7, 2021
WELLS FARGO CLEARING SERVICES, LLC
July 29, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/1/2025)
(12/11/2023)
(6/30/2025)
(12/5/2023)
(8/11/2021)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
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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