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MF

Mark S. Finckle

FINALIS SECURITIES LLC
SAN JUAN CAPISTRANO, CA
Some features on this profile are disabled
CRD#: 2650476
MF

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 San Juan Capistrano, California.

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"?
No

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

BD
CRD#: 305908
SAN JUAN CAPISTRANO, CA
Past

December 26, 2024 - February 27, 2025

MIDDLEMARCH SECURITIES LLC

BD
CRD#: 283508
STAMFORD, CT
Past

December 6, 2016 - September 10, 2019

PAULSON INVESTMENT COMPANY LLC

BD
CRD#: 5670
Chicago, IL
Past

January 14, 2016 - November 29, 2016

PACIFIC GATE ADVISORS, LLC

BD
CRD#: 16589
Naperville, IL
Past

February 6, 2013 - December 18, 2014

PAULSON INVESTMENT COMPANY LLC

BD
CRD#: 5670
PORTLAND, OR
Past

December 4, 2006 - November 19, 2012

ADVANCED EQUITIES, INC.

BD
CRD#: 35545
CHICAGO, IL
Past

June 8, 2005 - January 17, 2006

SOLEIL SECURITIES CORPORATION

BD
CRD#: 124737
NEW YORK, NY
Past

February 14, 2005 - March 16, 2005

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
SAN FRANCISCO, CA
Past

October 8, 1999 - May 3, 2002

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

September 6, 1995 - April 16, 1998

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
Florida
(3/21/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/20/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/5/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/5/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/17/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FINALIS SECURITIES LLC
DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: , 8-70425

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

Main Address
450 Lexington Ave, New York, NY 10017
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)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FINALIS, INC.HOLDING COMPANY
BRANT, DAVID ROBERTFINOP2718478
DIGIGLIO, JOSEPH ANDREWCCO4945031
MORA, MICHAEL JOHNCEO2648236

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

FINALIS SECURITIES LLC

CRD#: 305908San Juan Capistrano, CA

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