Andre D. Guardi
Professional summary
Andre Dino Guardi, who also goes by Andre D Guardi, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Andre is registered as a RR (Registered Representative) and started their career in finance in 1991. Andre has worked at 5 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 Andre Dino Guardi's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 18, 2021 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003September 9, 2015 - October 20, 2021
HAMILTON GRANT LLC
May 18, 2012 - November 3, 2014
HEXAGON CAPITAL ALLIANCE LLC
August 27, 2003 - May 2, 2012
B. RILEY & CO., LLC
September 5, 1991 - October 30, 2003
L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, 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
(10/18/2021)
(4/24/2025)
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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