Kirk T. Rostron

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 2645910

Professional summary

Kirk Thomas Rostron is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Kirk is registered as a RR (Registered Representative) and started their career in finance in 1995. Kirk has worked at 12 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Kirk Thomas Rostron'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

May 16, 2025 - Present

FINALIS SECURITIES LLC

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

CRD#: 36691

NORTH BETHESDA, MD

Past

September 7, 1995 - February 28, 1997

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
(6/16/2025)

Tennessee
(10/21/2025)

Virginia
(10/21/2025)

Exams

State Security Law Exam

Series 63

Date: 9/15/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/25/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/6/1995

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Kirk T. Rostron

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kirk Thomas Rostron's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRITEHORN SECURITIES

CAPFI PARTNERS LLC

MERCURY CAPITAL ADVISORS, LLC

WEILD & CO.

WJB CAPITAL GROUP, INC.

CAPFI PARTNERS LLC

MONTECITO ADVISORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

HOVDE GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

6800 CAPITAL SECURITIES, INC.

BEACON GLOBAL ADVISORS INC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/15/1995

SIE

Date: 10/1/2018

Series 31

Date: 6/25/1999

Series 7

Date: 9/6/1995

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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