Thomas A. Wolf

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 2443360

Professional summary

Thomas Andrew Wolf, who also goes by Thomas Andrew Wolf, 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 1994. Thomas has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Andrew Wolf

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 Andrew Wolf'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

October 3, 2024 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

August 1, 2017 - February 21, 2024

CREWE CAPITAL

CRD#: 152527

Salt Lake City, UT

Past

September 15, 2016 - August 2, 2017

CG CAPITAL MARKETS, LLC

CRD#: 35513

New York, NY

Past

June 8, 2015 - February 26, 2016

ALPINA CAPITAL, LLC

CRD#: 145794

DENVER, CO

Past

March 30, 2011 - August 26, 2013

JANCO PARTNERS, INC.

CRD#: 40055

GREENWOOD VILLAGE, CO

Past

June 27, 2006 - October 18, 2010

GVC CAPITAL LLC

RIA

CRD#: 38923

GREENWOOD VILLAGE, CO

Past

April 26, 2005 - December 31, 2010

GVC CAPITAL LLC

CRD#: 38923

GREENWOOD VILLAGE, CO

Past

October 6, 2003 - February 12, 2004

WEDGE SECURITIES, LLC

CRD#: 126776

GREENWOOD VILLAGE, CO

Past

September 11, 2003 - February 12, 2004

GERONIMO PARTNERS ASSET MANAGEMENT, LLC

RIA

CRD#: 121059

DENVER, CO

Past

March 3, 1995 - March 13, 1998

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

March 7, 1994 - January 11, 1995

HANIFEN, IMHOFF INC.

CRD#: 2126

DENVER, CO

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

Colorado
(10/3/2024)

Illinois
(11/12/2025)

Massachusetts
(2/13/2025)

New York
(4/30/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/10/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/2003

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)

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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

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.

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Firm Stability Insights

Thomas A. Wolf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Andrew Wolf's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREWE CAPITAL

CG CAPITAL MARKETS, LLC

ALPINA CAPITAL, LLC

JANCO PARTNERS, INC.

GVC CAPITAL LLC

GVC CAPITAL LLC

WEDGE SECURITIES, LLC

GERONIMO PARTNERS ASSET MANAGEMENT, LLC

CREDIT SUISSE SECURITIES (USA) LLC

HANIFEN, IMHOFF INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/10/2003

SIE

Date: 10/1/2018

Series 7

Date: 8/15/2003

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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