Patrick W. Turns
Professional summary
Patrick Williams Turns, who also goes by Patrick William Turns, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 1993. Patrick has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patrick Williams Turns's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 26, 2022 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003June 16, 2014 - February 2, 2022
GROWTH CAPITAL SERVICES, INC.
August 17, 2009 - April 23, 2014
TRESTLE POINT, LLC
April 22, 2004 - September 14, 2004
NBC CAPITAL MARKETS GROUP, INC.
May 9, 2003 - November 24, 2003
BOK FINANCIAL SECURITIES, INC.
April 30, 2001 - April 17, 2003
FHN FINANCIAL SECURITIES CORP.
March 2, 1998 - February 22, 2000
RBC CAPITAL MARKETS, LLC
February 11, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
March 22, 1993 - February 19, 1998
MORGAN KEEGAN & COMPANY, 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
(1/4/2023)
(1/27/2022)
Exams
FINRA
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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