Steven D. Morgan
Professional summary
Steven David Morgan, who also goes by Steven David Morgan, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1996. Steven has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven David Morgan's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 15, 2024 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003July 31, 2017 - October 4, 2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 23, 1996 - February 2, 2017
B. RILEY SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/15/2024)
Exams
FINRA
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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