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JF

James L. Frischling

FINALIS SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 2533617
JF

Professional summary

James Lawrence Frischling, who also goes by Jimmy Frischling, 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 12 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jimmy Frischling

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 James Lawrence Frischling'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

November 4, 2024 - Present

FINALIS SECURITIES LLC

Office #1: 450 Lexington Ave., New York, NY 10017
BD
CRD#: 305908
New York, NY
Past

August 24, 2021 - September 30, 2024

NORTHERN EDGE CAPITAL ADVISORS LLC

BD
CRD#: 151615
NEW YORK, NY
Past

May 14, 2019 - January 28, 2021

OLD CITY SECURITIES LLC

BD
CRD#: 171910
NEW YORK, NY
Past

August 5, 2009 - May 9, 2019

NEWOAK CAPITAL MARKETS LLC

BD
CRD#: 104063
NEW YORK, NY
Past

August 4, 2005 - January 2, 2008

FORTIS SECURITIES LLC

BD
CRD#: 103714
NEW YORK, NY
Past

April 26, 2004 - July 27, 2005

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

January 5, 2001 - April 26, 2004

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

March 8, 1999 - November 29, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 1, 1998 - March 17, 1999

SANTANDER INVESTMENT SECURITIES INC.

BD
CRD#: 37216
NEW YORK, NY
Past

September 17, 1997 - June 23, 1998

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

May 9, 1997 - September 25, 1997

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

December 13, 1994 - April 25, 1997

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
California
(7/7/2025)
RR
Delaware
(10/24/2025)
RR
New York
(11/4/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/22/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/5/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/30/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FINALIS SECURITIES LLC
DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: , 8-70425

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
450 Lexington Ave, New York, NY 10017
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

NamePositionCRD#
FINALIS, INC.HOLDING COMPANY
BRANT, DAVID ROBERTFINOP2718478
DIGIGLIO, JOSEPH ANDREWCCO4945031
MORA, MICHAEL JOHNCEO2648236

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.

Company Information

FINALIS SECURITIES LLC

CRD#: 305908New York, NY 10017

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