Andrew D. Shiftan
Professional summary
Andrew David Shiftan, who also goes by Andrew Shiftan, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1999. Andrew has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew David Shiftan's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 27, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003October 3, 2007 - April 15, 2025
BROOKS, HOUGHTON SECURITIES, INC.
August 25, 2004 - September 24, 2007
MORGAN JOSEPH TRIARTISAN LLC
March 15, 2001 - August 24, 2004
CAPITALKEY SECURITIES, LLC
September 8, 2000 - February 12, 2001
KPMG CORPORATE FINANCE LLC
May 12, 1999 - January 7, 2000
JANNEY MONTGOMERY SCOTT LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/27/2025)
(7/3/2025)
(5/4/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered 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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