James Gavilan
Professional summary
James Gavilan, who also goes by None, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 5 firms and has passed the Series 63, Series 65, Series 79TO, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Gavilan's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 10, 2022 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003February 3, 2004 - September 11, 2006
ICBC STANDARD SECURITIES INC.
July 13, 1998 - May 6, 2003
J.P. MORGAN SECURITIES INC.
July 19, 1995 - October 24, 1996
BOWLES HOLLOWELL CONNER & CO.
June 17, 1994 - October 21, 1994
EULAV SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/10/2022)
Exams
Series 79TO
Date: 1/10/2022
Investment Banking Registered Representative ExaminationFINRA
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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