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GL

Gregory W. Lobo

FINALIS SECURITIES LLC
New York, NY 10003
Some features on this profile are disabled
CRD#: 2718522
GL

Professional summary

Gregory Walter Lobo, who also goes by Gregory Lobo, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Gregory is registered as a RR (Registered Representative) and started their career in finance in 2010. Gregory has worked at 7 firms and has passed the Series 66, Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gregory Lobo

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.
SECURITIES AMERICA ADVISORS POSITION: Advisor NATURE: Investment Advisor Representative for Securities America Advisors INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 12/15/2020 ADDRESS: 12 Bernards Ave, Bernardsville NJ 07924 DESCRIPTION: Provide fee-based investment advice to clients SFE ENERGY POSITION: commission sales NATURE: Consult with businesses regarding their electric and gas utility supply costs to see if they can save money or benefit from the cost-certainty we can provide. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/01/2020 ADDRESS: 12 Bernards Avenue, Bernardsville NJ 07924 DESCRIPTION: I review the electric and gas utility bills for businesses who send them to me for review. I compare their current supply rates with the SFE daily pricing grid to see if I can provide them a cheaper rate, and maybe more importantly, cost certainty, by locking them in for 24, 36 or 48 months. DBA - Black River Associates LLC

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gregory Walter Lobo'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

December 6, 2023 - Present

FINALIS SECURITIES LLC

Office #1: 228 Park Ave South Suite 85550, New York, NY 10003
BD
CRD#: 305908
New York, NY
Past

December 7, 2020 - September 30, 2022

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
BERNARDSVILLE, NJ
Past

October 27, 2020 - September 30, 2022

SECURITIES AMERICA, INC.

BD
CRD#: 10205
BERNARDSVILLE, NJ
Past

March 29, 2016 - June 26, 2019

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
NEW YORK, NY
Past

April 15, 2014 - November 30, 2015

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

June 1, 2011 - September 1, 2011

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
NEW YORK, NY
Past

October 26, 2010 - June 1, 2011

COHEN & COMPANY CAPITAL MARKETS, LLC

BD
CRD#: 144981
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
Arizona
(1/10/2024)
RR
California
(1/10/2024)
RR
Florida
(2/6/2024)
RR
Georgia
(4/11/2024)
RR
New Jersey
(12/6/2023)
RR
New York
(5/7/2024)
RR
North Carolina
(10/1/2024)
RR
Texas
(5/7/2024)
RR
Washington
(5/7/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/25/2020
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/28/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/9/1996
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/14/2014
General Securities Representative 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
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)

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
AZARY, DENNIS MICHAELCEO/CCO/FINOP2384263

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#: 305908New York, NY 10003

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