Mark Slater
Professional summary
Mark Slater is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1998. Mark has worked at 7 firms and has passed the Series 63, Series 79TO, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Slater's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 10, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003July 24, 2020 - April 15, 2025
BROOKS, HOUGHTON SECURITIES, INC.
October 3, 2013 - July 2, 2015
CITIZENS SECURITIES, INC.
January 13, 2009 - June 24, 2009
KAUFMAN BROS., L.P.
July 5, 2004 - July 27, 2006
W.R. HAMBRECHT + CO., LLC
February 1, 2000 - July 11, 2002
J.P. MORGAN SECURITIES INC.
March 5, 1998 - February 1, 2000
HAMBRECHT & QUIST LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/11/2025)
Exams
Series 79TO
Date: 7/23/2020
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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