Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

MM

Michael John Mora

FINALIS SECURITIES

New York, NY

·CRD# 2648236·30 years experience

Professional Summary

Michael John Mora, who also goes by Mike Mora, is a registered financial advisor currently at FINALIS SECURITIES LLC located in New York, New York and AIRWALLEX CAPITAL (US) LLC located in San Francisco, California. Michael is registered as a RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 17 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24...

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mike Mora

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

Similar Advisors

Richard Gaspare Dragotta

Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Anthony J. Macagna

Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Nicholas Wayne Rygiel

Nicholas Wayne Rygiel

PROTOCOL WEALTH, LLC

Havertown, PA · CRD#

Anita Narendra Srivastava

Anita Narendra Srivastava

MORGAN STANLEY

Paramus, NJ · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Richard Gaspare Dragotta

Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Anthony J. Macagna

Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Nicholas Wayne Rygiel

Nicholas Wayne Rygiel

PROTOCOL WEALTH, LLC

Havertown, PA · CRD#

Anita Narendra Srivastava

Anita Narendra Srivastava

MORGAN STANLEY

Paramus, NJ · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

Similar Advisors

Richard Gaspare Dragotta

Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Anthony J. Macagna

Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Nicholas Wayne Rygiel

Nicholas Wayne Rygiel

PROTOCOL WEALTH, LLC

Havertown, PA · CRD#

Anita Narendra Srivastava

Anita Narendra Srivastava

MORGAN STANLEY

Paramus, NJ · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Richard Gaspare Dragotta

Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Anthony J. Macagna

Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Nicholas Wayne Rygiel

Nicholas Wayne Rygiel

PROTOCOL WEALTH, LLC

Havertown, PA · CRD#

Anita Narendra Srivastava

Anita Narendra Srivastava

MORGAN STANLEY

Paramus, NJ · CRD#

Years of Experience

30 years in the financial services industry

Current & Past Employments

FINALIS SECURITIES LLC·CRD# 305908

BD

450 Lexington Ave., New York, NY 10017

November 24, 2025 - Present

AIRWALLEX CAPITAL (US) LLC·CRD# 332388

BD

188 Spear Street 9th Floor, San Francisco, CA, 94105

April 25, 2026 - Present

ANTA CAPITAL·CRD# 333374

BD

Charlottesville, VA

December 15, 2025 - April 23, 2026

FUTU CLEARING INC·CRD# 298769

BD

Dallas, TX

December 6, 2023 - March 4, 2025

FUTU CLEARING INC·CRD# 298769

BD

Dallas, TX

November 15, 2021 - December 5, 2023

FTX CAPITAL MARKETS LLC·CRD# 158816

BD

New York, NY

March 4, 2021 - January 12, 2022

VELOX CLEARING LLC·CRD# 290215

BD

Anaheim, CA

May 30, 2018 - February 4, 2021

VELOX SECURITIES, INC.·CRD# 285402

BD

Anaheim, CA

June 23, 2017 - July 31, 2017

COINBASE CAPITAL MARKETS CORP·CRD# 10722

BD

New York, NY

March 3, 2015 - March 14, 2017

BOUSTEAD SECURITIES, LLC·CRD# 141391

BD

El Segundo, CA

August 10, 2011 - February 23, 2015

ASCENDIANT CAPITAL MARKETS, LLC·CRD# 152912

BD

Irvine, CA

March 17, 2011 - July 25, 2011

BMA SECURITIES, LLC·CRD# 108219

BD

Irvine, CA

March 8, 2010 - February 28, 2011

THE BENCHMARK COMPANY, LLC·CRD# 22982

BD

Pasadena, CA

November 10, 2008 - March 2, 2010

BMA SECURITIES, LLC·CRD# 108219

BD

Rolling Hills Estates, CA

July 17, 2008 - November 18, 2008

CAPSTONE INVESTMENTS·CRD# 41400

BD

San Diego, CA

May 19, 2005 - June 13, 2008

ROTH CAPITAL PARTNERS, LLC·CRD# 15407

BD

Newport Beach, CA

June 7, 2004 - October 5, 2004

DELAFIELD HAMBRECHT, INC.·CRD# 119001

BD

Seattle, WA

January 8, 2004 - May 11, 2004

WEDBUSH SECURITIES INC.·CRD# 877

BD

Pasadena, CA

June 13, 2001 - November 18, 2002

DEUTSCHE IXE, LLC·CRD# 7172

BD

New York, NY

November 12, 1998 - April 30, 2001

DEUTSCHE IXE, LLC·CRD# 7172

BD

New York, NY

March 5, 1996 - July 30, 1998

Similar Advisors

Richard Gaspare Dragotta

Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Anthony J. Macagna

Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Nicholas Wayne Rygiel

Nicholas Wayne Rygiel

PROTOCOL WEALTH, LLC

Havertown, PA · CRD#

Anita Narendra Srivastava

Anita Narendra Srivastava

MORGAN STANLEY

Paramus, NJ · CRD#

Current Firm

AC

AIRWALLEX CAPITAL (US) LLC

AIRWALLEX CAPITAL (US) LLC

CRD#: 332388 / SEC#: 8-71282

BD

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Contact Information

Main Address

188 Spear Street 9th Floor, San Francisco, CA, 94105

Mailing Address

188 Spear Street 9th Floor, San Francisco, CA, 94105

Phone Number

(855) 932-3331

Established

Delaware since 06/24/2024

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

Name	Position	CRD#
AIRWALLEX CAPITAL HOLDING (SINGAPORE) PTE LTD	SHAREHOLDER	—
DEDILECTIS, GARY JAMES	CFO & FINOP	1664764
PECZON, WALTER MARTIN	CEO & CCO	1762762

Similar Advisors

Richard Gaspare Dragotta

Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Anthony J. Macagna

Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Nicholas Wayne Rygiel

Nicholas Wayne Rygiel

PROTOCOL WEALTH, LLC

Havertown, PA · CRD#

Anita Narendra Srivastava

Anita Narendra Srivastava

MORGAN STANLEY

Paramus, NJ · CRD#

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.

Similar Advisors

Richard Gaspare Dragotta

Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Anthony J. Macagna

Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Nicholas Wayne Rygiel

Nicholas Wayne Rygiel

PROTOCOL WEALTH, LLC

Havertown, PA · CRD#

Anita Narendra Srivastava

Anita Narendra Srivastava

MORGAN STANLEY

Paramus, NJ · CRD#

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(7/21/2026)

RR

Alaska
(5/7/2026)

RR

Arizona
(5/7/2026)

RR

Arkansas
(4/29/2026)

RR

California
(11/24/2025)

RR

Colorado
(5/7/2026)

RR

Connecticut
(5/7/2026)

RR

Delaware
(5/7/2026)

RR

District of Columbia
(4/29/2026)

RR

Florida
(5/7/2026)

RR

Georgia
(5/7/2026)

RR

Hawaii
(5/7/2026)

RR

Idaho
(5/7/2026)

RR

Illinois
(5/7/2026)

RR

Indiana
(4/29/2026)

RR

Iowa
(5/7/2026)

RR

Kansas
(5/7/2026)

RR

Kentucky
(5/7/2026)

RR

Louisiana
(5/7/2026)

RR

Maine
(5/7/2026)

RR

Maryland
(5/7/2026)

RR

Massachusetts
(5/7/2026)

RR

Michigan
(5/7/2026)

RR

Minnesota
(5/7/2026)

RR

Mississippi
(5/7/2026)

RR

Missouri
(5/7/2026)

RR

Montana
(5/7/2026)

RR

Nebraska
(5/7/2026)

RR

Nevada
(5/7/2026)

RR

New Hampshire
(5/7/2026)

RR

New Jersey
(4/29/2026)

RR

New Mexico
(5/7/2026)

RR

New York
(5/7/2026)

RR

North Carolina
(5/7/2026)

RR

North Dakota
(5/7/2026)

RR

Ohio
(5/7/2026)

RR

Oklahoma
(5/7/2026)

RR

Oregon
(5/7/2026)

RR

Pennsylvania
(5/7/2026)

RR

Puerto Rico
(6/16/2026)

RR

Rhode Island
(5/7/2026)

RR

South Carolina
(5/7/2026)

RR

South Dakota
(1/16/2026)

RR

Tennessee
(5/18/2026)

RR

Texas
(6/4/2026)

RR

Utah
(5/7/2026)

RR

Vermont
(5/7/2026)

RR

Virgin Islands
(5/7/2026)

RR

Virginia
(5/7/2026)

RR

Washington
(5/7/2026)

RR

West Virginia
(5/7/2026)

RR

Wisconsin
(5/7/2026)

RR

Wyoming
(5/7/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 2004About the Series 63 exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jul 1999

Series 7 — General Securities Representative Examination

Passed Mar 1996About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2016About the Series 24 exam

FINRA

SRO Registrations

Similar Advisors

Richard Gaspare Dragotta

Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Anthony J. Macagna

Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Nicholas Wayne Rygiel

Nicholas Wayne Rygiel

PROTOCOL WEALTH, LLC

Havertown, PA · CRD#

Anita Narendra Srivastava

Anita Narendra Srivastava

MORGAN STANLEY

Paramus, NJ · CRD#

CRS (Client Relationship Summary) - BD

Click below to view Michael John Mora's CRS (Customer Relationship Summary).

Similar Advisors

Richard Gaspare Dragotta

Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Anthony J. Macagna

Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

Nicholas Wayne Rygiel

Nicholas Wayne Rygiel

PROTOCOL WEALTH, LLC

Havertown, PA · CRD#

Anita Narendra Srivastava

Anita Narendra Srivastava

MORGAN STANLEY

Paramus, NJ · CRD#

MM

Follow Michael

Get alerted to job moves, licensing changes, and new disclosures

Free — no card required