Brian C. Summe

FINALIS SECURITIES LLC

New York, NY 10003

Some features on this profile are disabled

CRD#: 2194736

Professional summary

Brian C Summe, who also goes by Brian Charles Summe, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1992. Brian has worked at 9 firms and has passed the Series 63, Series 82TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian Charles Summe

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 Brian C Summe'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

March 14, 2023 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

June 26, 2019 - January 13, 2023

FNEX CAPITAL, LLC

CRD#: 166316

INDIANAPOLIS, IN

Past

March 25, 1998 - May 31, 2019

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

January 2, 1997 - November 6, 1997

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

January 2, 1996 - January 2, 1997

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

August 25, 1995 - January 1, 1996

FUNDMARK INVESTMENT COMPANY SERVICES, INC.

CRD#: 13066

Past

December 3, 1993 - June 7, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 28, 1992 - December 9, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 7, 1992 - August 27, 1992

A. F. BEST SECURITIES, INC.

CRD#: 14335

CORAL SPRINGS, FL

State Registrations and Notice Filings

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

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

Kentucky
(3/14/2023)

Texas
(3/19/2024)

Exams

State Security Law Exam

Series 63

Date: 2/18/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/3/1992

General Securities Representative 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)

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)

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

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian C. Summe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian C Summe's CRS (Customer Relationship Summary).

Certified licenses

Experience

FNEX CAPITAL, LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

INVESCO CAPITAL MARKETS, INC.

MORGAN STANLEY & CO. LLC

FUNDMARK INVESTMENT COMPANY SERVICES, INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

A. F. BEST SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/18/1992

Series 82TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/3/1992

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

Similar Advisors