Matthew L. James
Professional summary
Matthew Lee James is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 1995. Matthew has worked at 4 firms and has passed the Series 63, Series 3, Series 52TO, Series 7TO, SIE, Series 16, Series 7, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew Lee James's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 8, 2024 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003November 7, 2019 - October 9, 2023
CITIGROUP GLOBAL MARKETS INC.
March 9, 2000 - December 12, 2006
MORGAN STANLEY & CO. LLC
December 7, 1995 - February 9, 2000
JPMSI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/8/2024)
Exams
Series 52TO
Date: 1/10/2020
Municipal Securities Representative ExaminationSeries 7TO
Date: 11/7/2019
General Securities Representative ExaminationFINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
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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