Jonathan B. Fassberg

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 2445289

Professional summary

Jonathan B Fassberg, who also goes by Jonathan B Fassberg, Jonathan Bernard Fassberg, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1994. Jonathan has worked at 7 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jonathan B Fassberg | Jonathan Bernard Fassberg

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 Jonathan B Fassberg'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

February 8, 2025 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

March 22, 2021 - January 12, 2024

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

November 1, 2018 - March 19, 2021

SOLEBURY CAPITAL LLC

CRD#: 143299

NEW YORK, NY

Past

December 21, 2017 - October 4, 2018

INDEPENDENT BROKERAGE SOLUTIONS LLC

CRD#: 153563

NEW YORK, NY

Past

October 8, 2004 - November 13, 2018

TROUT CAPITAL LLC

CRD#: 131489

NEW YORK, NY

Past

September 27, 1994 - March 8, 1995

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

February 22, 1994 - October 26, 1994

D. BLECH & COMPANY, INCORPORATED

CRD#: 26063

NEW YORK, NY

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

New York
(2/8/2025)

Exams

State Security Law Exam

Series 63

Date: 11/23/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/29/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/16/2004

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

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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Jonathan B. Fassberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathan B Fassberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPPENHEIMER & CO. INC.

SOLEBURY CAPITAL LLC

INDEPENDENT BROKERAGE SOLUTIONS LLC

TROUT CAPITAL LLC

JOSEPHTHAL & CO., INC.

D. BLECH & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 11/23/2004

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/29/2004

Series 24

Date: 8/16/2004

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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