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

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
TH

Thomas A. Herman

FINALIS SECURITIES LLC
SAN JUAN CAPISTRANO, CA
Some features on this profile are disabled
CRD#: 2234629
TH

Professional summary

Thomas Arthur Herman is a registered financial professional currently at FINALIS SECURITIES LLC located in San Juan Capistrano, California.

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"?
No

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

BD
CRD#: 305908
SAN JUAN CAPISTRANO, CA
Past

February 14, 2019 - July 26, 2021

INDEPENDENT INVESTMENT BANKERS, CORP.

BD
CRD#: 154134
AUSTIN, TX
Past

October 21, 2016 - December 31, 2018

GVC CAPITAL LLC

BD
CRD#: 38923
CENTENNIAL, CO
Past

December 16, 2015 - September 23, 2016

GORDIAN INVESTMENTS, LLC

BD
CRD#: 158611
OREGON HOUSE, CA
Past

January 29, 2013 - November 13, 2013

GROWTH CAPITAL SERVICES, INC.

BD
CRD#: 124658
CLAYMONT, DE
Past

July 7, 2011 - December 31, 2012

MAA - MENTOR ALTERNATIVE ADVISORS LLC

BD
CRD#: 154411
GREENWICH, CT
Past

June 25, 2010 - June 27, 2011

MARCH CAPITAL CORP.

BD
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

BD
CRD#: 141295
CONCORD, MA
Past

July 16, 2002 - January 21, 2004

NORFOLK MARKETS, LLC

BD
CRD#: 103797
NEW YORK, NY
Past

June 27, 1997 - October 15, 1997

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

July 20, 1995 - April 21, 1997

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

July 20, 1995 - April 21, 1997

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

May 19, 1992 - December 2, 1994

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA

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
Connecticut
(10/2/2024)
RR
Florida
(7/28/2021)
RR
New York
(2/7/2022)
RR
Pennsylvania
(3/24/2025)

Exams

State Security Law Exam
RR
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
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82
Date: 12/15/2015
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 62
Date: 6/24/2010
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 2/14/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/14/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/12/2007
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
450 Lexington Ave, New York, NY 10017
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
BRANT, DAVID ROBERTFINOP2718478
DIGIGLIO, JOSEPH ANDREWCCO4945031
MORA, MICHAEL JOHNCEO2648236

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#: 305908San Juan Capistrano, CA

TRUST BUT VERIFY

Monitor Thomas Herman

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

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.