AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JB

Joseph L. Briner

FINALIS SECURITIES LLC
New York, NY 10003
Some features on this profile are disabled
CRD#: 2174389
JB

Professional summary

Joseph L Briner, CFP®, who also goes by Joseph L Briner, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1991. Joseph has worked at 11 firms and has passed the Series 63, Series 66, Series 79TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph L Briner

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 Joseph L Briner'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®
CFP®

Certified Financial Planner

Experience

Current

August 11, 2025 - Present

FINALIS SECURITIES LLC

Office #1: 228 Park Ave South Suite 85550, New York, NY 10003
BD
CRD#: 305908
New York, NY
Past

March 19, 2024 - August 4, 2025

OBERON SECURITIES, LLC

BD
CRD#: 132598
NEW YORK, NY
Past

June 28, 2011 - December 31, 2012

PFS INVESTMENTS INC.

BD
CRD#: 10111
MACON, GA
Past

September 1, 2009 - March 3, 2010

ROBERT R. MEREDITH & CO., INC.

BD
CRD#: 29501
NEW YORK, NY
Past

May 30, 2007 - March 3, 2008

FIRST LEGACY SECURITIES, LLC

BD
CRD#: 47079
ALPHARETTA, GA
Past

October 16, 2003 - May 18, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
ATLANTA, GA
Past

October 16, 2003 - May 18, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

July 9, 2002 - October 6, 2003

TRUIST INVESTMENT SERVICES, INC.

RIA
CRD#: 17499
ATLANTA, GA
Past

July 24, 2000 - October 6, 2003

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
ATLANTA, GA
Past

May 14, 1999 - June 1, 2000

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

April 23, 1996 - May 14, 1999

KEY INVESTMENTS INC.

BD
CRD#: 15873
CLEVELAND, OH
Past

December 23, 1991 - July 31, 1995

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

December 23, 1991 - July 31, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Delaware
(8/11/2025)
RR
Florida
(8/11/2025)
RR
Georgia
(8/11/2025)
RR
North Carolina
(8/11/2025)
RR
Pennsylvania
(8/11/2025)
RR
Texas
(9/29/2025)
RR
Virginia
(8/11/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/15/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/15/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/19/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/11/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/24/2004
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/13/2004
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/25/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA

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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 305908New York, NY 10003

TRUST BUT VERIFY

Monitor Joseph Briner

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics