Mark S. Finckle

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 2650476

Professional summary

Mark Stuart Finckle, who also goes by Mark S Finckle, Mark Stuart Finckle, 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 1995. Mark has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mark S Finckle | Mark Stuart Finckle

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 Mark Stuart Finckle'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

March 12, 2025 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

December 26, 2024 - February 27, 2025

MIDDLEMARCH SECURITIES LLC

CRD#: 283508

STAMFORD, CT

Past

December 6, 2016 - September 10, 2019

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

Chicago, IL

Past

January 14, 2016 - November 29, 2016

PACIFIC GATE ADVISORS, LLC

CRD#: 16589

Naperville, IL

Past

February 6, 2013 - December 18, 2014

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

PORTLAND, OR

Past

December 4, 2006 - November 19, 2012

ADVANCED EQUITIES, INC.

CRD#: 35545

CHICAGO, IL

Past

June 8, 2005 - January 17, 2006

SOLEIL SECURITIES CORPORATION

CRD#: 124737

NEW YORK, NY

Past

February 14, 2005 - March 16, 2005

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

SAN FRANCISCO, CA

Past

October 8, 1999 - May 3, 2002

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 6, 1995 - April 16, 1998

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
(3/12/2025)

Florida
(3/21/2025)

Georgia
(3/13/2025)

Illinois
(3/24/2025)

New York
(3/22/2025)

Exams

State Security Law Exam

Series 63

Date: 11/20/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/5/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/5/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/17/2014

General Securities Principal 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

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.

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Advisor Monitoring

Firm Stability Insights

Mark S. Finckle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Stuart Finckle's CRS (Customer Relationship Summary).

Certified licenses

Experience

MIDDLEMARCH SECURITIES LLC

PAULSON INVESTMENT COMPANY LLC

PACIFIC GATE ADVISORS, LLC

PAULSON INVESTMENT COMPANY LLC

ADVANCED EQUITIES, INC.

SOLEIL SECURITIES CORPORATION

THOMAS WEISEL PARTNERS LLC

J.P. MORGAN SECURITIES LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/20/2024

SIE

Date: 11/5/2024

Series 7

Date: 9/5/1995

Series 24

Date: 9/17/2014

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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