Thomas A. Herman

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 2234629

Professional summary

Thomas Arthur Herman is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 13 firms and has passed the Series 63, Series 65, SIE, Series 82, Series 62, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Thomas Arthur Herman'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

July 28, 2021 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

February 14, 2019 - July 26, 2021

INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134

AUSTIN, TX

Past

October 21, 2016 - December 31, 2018

GVC CAPITAL LLC

CRD#: 38923

GREENWOOD VILLAGE, CO

Past

December 16, 2015 - September 23, 2016

GORDIAN INVESTMENTS, LLC

CRD#: 158611

OREGON HOUSE, CA

Past

January 29, 2013 - November 13, 2013

GROWTH CAPITAL SERVICES, INC.

CRD#: 124658

CLAYMONT, DE

Past

July 7, 2011 - December 31, 2012

MAA - MENTOR ALTERNATIVE ADVISORS LLC

CRD#: 154411

GREENWICH, CT

Past

June 25, 2010 - June 27, 2011

MARCH CAPITAL CORP.

CRD#: 24142

CHICAGO, IL

Past

February 8, 2010 - June 27, 2011

MARCH CAPITAL CORP.

RIA

CRD#: 24142

CHICAGO, IL

Past

January 26, 2007 - July 2, 2007

CPIM SECURITIES LLC

CRD#: 141295

CONCORD, MA

Past

July 16, 2002 - January 21, 2004

NORFOLK MARKETS, LLC

CRD#: 103797

NEW YORK, NY

Past

June 27, 1997 - October 15, 1997

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

July 20, 1995 - April 21, 1997

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

July 20, 1995 - April 21, 1997

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

May 19, 1992 - December 2, 1994

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

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

Connecticut
(10/2/2024)

Florida
(7/28/2021)

New York
(2/7/2022)

Pennsylvania
(3/24/2025)

Texas
(12/11/2024)

Wyoming
(3/24/2025)

Exams

State Security Law Exam

Series 63

Date: 6/2/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/3/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 82

Date: 12/15/2015

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 62

Date: 6/24/2010

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 7

Date: 2/14/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/14/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/12/2007

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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Thomas A. Herman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Arthur Herman's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT INVESTMENT BANKERS, CORP.

GVC CAPITAL LLC

GORDIAN INVESTMENTS, LLC

GROWTH CAPITAL SERVICES, INC.

MAA - MENTOR ALTERNATIVE ADVISORS LLC

MARCH CAPITAL CORP.

MARCH CAPITAL CORP.

CPIM SECURITIES LLC

NORFOLK MARKETS, LLC

ALLIANCEBERNSTEIN INVESTMENTS, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

WALNUT STREET SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/2/2010

Series 65

Date: 8/3/1998

SIE

Date: 10/1/2018

Series 82

Date: 12/15/2015

Series 62

Date: 6/24/2010

Series 7

Date: 2/14/2002

Series 6

Date: 5/14/1992

Series 24

Date: 2/12/2007

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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