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MM

Michael J. Mora

FINALIS SECURITIES LLC
SAN JUAN CAPISTRANO, CA
Some features on this profile are disabled
CRD#: 2648236
MM

Professional summary

Michael John Mora, who also goes by Mike Mora, is a registered financial professional currently at FINALIS SECURITIES LLC located in San Juan Capistrano, California and ANTA CAPITAL located in Charlottesville, Virginia.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 16 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Mora

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 Michael John Mora's 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 24, 2025 - Present

FINALIS SECURITIES LLC

BD
CRD#: 305908
SAN JUAN CAPISTRANO, CA
Current

December 15, 2025 - Present

ANTA CAPITAL

Office #1: One Morton Drive, Suite 403, Charlottesville, VA 22903Office #2: One Morton Drive, Suite 403, Charlottesville, VA 22903
BD
CRD#: 333374
CHARLOTTESVILLE, VA
Past

December 6, 2023 - March 4, 2025

FUTU CLEARING INC

BD
CRD#: 298769
DALLAS, TX
Past

November 15, 2021 - December 5, 2023

FUTU CLEARING INC

BD
CRD#: 298769
DALLAS, TX
Past

March 4, 2021 - January 12, 2022

FTX CAPITAL MARKETS LLC

BD
CRD#: 158816
NEW YORK, NY
Past

May 30, 2018 - February 4, 2021

VELOX CLEARING LLC

BD
CRD#: 290215
Anaheim, CA
Past

June 23, 2017 - July 31, 2017

VELOX SECURITIES, INC.

BD
CRD#: 285402
ANAHEIM, CA
Past

March 3, 2015 - March 14, 2017

COINBASE CAPITAL MARKETS CORP

BD
CRD#: 10722
NEW YORK, NY
Past

August 10, 2011 - February 23, 2015

BOUSTEAD SECURITIES, LLC

BD
CRD#: 141391
EL SEGUNDO, CA
Past

March 17, 2011 - July 25, 2011

ASCENDIANT CAPITAL MARKETS, LLC

BD
CRD#: 152912
IRVINE, CA
Past

March 8, 2010 - February 28, 2011

BMA SECURITIES, LLC

BD
CRD#: 108219
IRVINE, CA
Past

November 10, 2008 - March 2, 2010

THE BENCHMARK COMPANY, LLC

BD
CRD#: 22982
PASADENA, CA
Past

July 17, 2008 - November 18, 2008

BMA SECURITIES, LLC

BD
CRD#: 108219
ROLLING HILLS ESTATES, CA
Past

May 19, 2005 - June 13, 2008

CAPSTONE INVESTMENTS

BD
CRD#: 41400
SAN DIEGO, CA
Past

June 7, 2004 - October 5, 2004

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
NEWPORT BEACH, CA
Past

January 8, 2004 - May 11, 2004

DELAFIELD HAMBRECHT, INC.

BD
CRD#: 119001
SEATTLE, WA
Past

June 13, 2001 - November 18, 2002

WEDBUSH SECURITIES INC.

BD
CRD#: 877
PASADENA, CA
Past

November 12, 1998 - April 30, 2001

DEUTSCHE IXE, LLC

BD
CRD#: 7172
NEW YORK, NY
Past

March 5, 1996 - July 30, 1998

DEUTSCHE IXE, LLC

BD
CRD#: 7172
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
(11/24/2025)
RR
South Dakota
(1/16/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 7/1/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 7/29/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/4/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/13/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ANTA CAPITAL
ANTA CAPITAL | ANTA CAPITAL LLC

CRD#: 333374 / SEC#: , 8-71294

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

Main Address
One Morton Drive, Suite 403, Charlottesville, VA 22903
Mailing Address
One Morton Drive, Suite 403, Charlottesville, VA 22903
Phone number
(304) 546-7060
Established
Virginia since 06/20/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ANTA CAPITAL MARKETS GROUP, LLCMEMBER
ANTROBIUS, DAVID ANTONCO-CEO7859268
LANDANO, VINCENT RALPHCO-CEO, CHIEF COMPLIANCE OFFICER1113603
PORTILLO, JOSE ROMEOCFO, FINOP, PFO, PPO2248799

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

ANTA CAPITAL

CRD#: 333374San Juan Capistrano, CA

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