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Matthew L. Morice

Some features on this profile are disabled
CRD#: 1934692
MM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Matthew Leo Morice, who also goes by Matt Morice, was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 1989. Matthew had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 50, Series 3, Series 7, Series 54 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matt Morice

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.
Cumberland Partners, LLC; 680 Oakleaf Office Lane, Memphis, TN, 38117; Investment Advisor registered in Tennessee; Co-Managing Member; 03/15/2010; 160; My responsibilities to both firms involve marketing the services of third party asset managers. Where the activities involve the sale of securities, I provide services through Finalis and where activities involve marketing investment advisory services, I provide services through Cumberland Partners.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 27, 2022 - January 2, 2023

FINALIS SECURITIES LLC

BD
CRD#: 305908
NEW YORK, NY
Past

October 8, 2019 - January 31, 2022

GROWTH CAPITAL SERVICES, INC.

RIA
CRD#: 124658
MEMPHIS, TN
Past

October 8, 2019 - January 31, 2022

GROWTH CAPITAL SERVICES, INC.

BD
CRD#: 124658
MEMPHIS, TN
Past

May 30, 2017 - October 4, 2019

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
Memphis, TN
Past

February 5, 2011 - May 30, 2017

TRESTLE POINT, LLC

BD
CRD#: 138494
BIRMINGHAM, MI
Past

September 20, 2010 - November 29, 2022

CUMBERLAND PARTNERS, LLC

RIA
CRD#: 153330
MEMPHIS, TN
Past

July 10, 2008 - February 27, 2009

ROTHSCHILD & CO US INC.

BD
CRD#: 2910
NEW YORK, NY
Past

June 20, 2007 - December 31, 2007

CARILLON FUND DISTRIBUTORS, INC.

BD
CRD#: 139749
ST. PETERSBURG, FL
Past

October 5, 2001 - November 8, 2007

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
MEMPHIS, TN
Past

April 23, 1991 - September 20, 2001

ENERECAP PARTNERS, LLC

BD
CRD#: 26554
ATLANTA, GA
Past

March 21, 1989 - August 3, 1990

GS2 SECURITIES, INC.

BD
CRD#: 14745
MILWAUKEE, WI

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
IAR
Series 65
Date: 8/24/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/30/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 1/30/2018
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 3
Date: 5/4/1992
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 54
Date: 12/7/2021
Municipal Advisor Principal Qualification Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/1/2011
General Securities Principal Examination

Current Firm

FS
FINALIS SECURITIES LLC
DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: , 8-70425

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FINALIS, INC.HOLDING COMPANY
AZARY, DENNIS MICHAELCEO/CCO/FINOP2384263

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

Company Information

FINALIS SECURITIES LLC

CRD#: 305908

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