Storm Duncan

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 2514479

Professional summary

Storm Duncan, who also goes by Storm Duncan, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

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

Question & Answer

Are you a "fiduciary"?

Aliases

Storm Duncan

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 Storm Duncan'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

January 25, 2023 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

September 16, 2022 - October 19, 2022

INDEPENDENT BROKERAGE SOLUTIONS LLC

CRD#: 153563

NEW YORK, NY

Past

August 5, 2016 - February 16, 2022

JEFFERIES LLC

CRD#: 2347

MIAMI, FL

Past

February 13, 2012 - April 18, 2012

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

SAN FRANCISCO, CA

Past

November 16, 1999 - January 6, 2012

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

SAN FRANCISCO, CA

Past

September 16, 1996 - April 12, 1999

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

June 20, 1996 - September 17, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 7, 1994 - March 7, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

California
(1/26/2023)

Florida
(1/26/2023)

Massachusetts
(1/3/2024)

Michigan
(5/12/2025)

New York
(1/7/2025)

Texas
(1/3/2024)

Washington
(1/3/2024)

Exams

State Security Law Exam

Series 63

Date: 8/12/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/23/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 8/5/2016

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 9/6/1994

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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Advisor Monitoring

Firm Stability Insights

Storm Duncan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Storm Duncan's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT BROKERAGE SOLUTIONS LLC

JEFFERIES LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/12/2016

Series 7TO

Date: 3/23/2023

SIE

Date: 10/1/2018

Series 79

Date: 8/5/2016

Series 7

Date: 9/6/1994

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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