James T. Lilly

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 1868970

Professional summary

James Thomas Lilly JR, who also goes by James T Lilly Jr, James Thomas Lilly Jr, Jim Lilly Jr, Jim Lilly, James Thomas Lilly Jr, James T Lilly, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1989. James has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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 James Thomas Lilly JR'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 12, 2025 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

March 16, 2021 - September 29, 2023

ENGLAND SECURITIES, LLC

CRD#: 129932

NEW YORK, NY

Past

October 13, 2017 - March 6, 2018

CAIN BROTHERS & COMPANY, LLC

CRD#: 13649

NEW YORK, NY

Past

January 3, 2012 - May 8, 2019

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

New York, NY

Past

June 12, 2009 - November 22, 2011

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

January 9, 2006 - April 29, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 11, 2003 - December 7, 2005

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

February 20, 1992 - August 22, 2003

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

October 25, 1989 - March 12, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 9/27/2025

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/21/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/9/2006

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

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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James T. Lilly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Thomas Lilly JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ENGLAND SECURITIES, LLC

CAIN BROTHERS & COMPANY, LLC

KEYBANC CAPITAL MARKETS INC.

COWEN AND COMPANY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

JEFFERIES LLC

PIPER SANDLER & CO.

DREXEL BURNHAM LAMBERT INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 9/27/2025

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/21/1989

Series 24

Date: 5/9/2006

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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