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RS

Randal V. Stephenson

FINALIS SECURITIES LLC
New York, NY 10003
Some features on this profile are disabled
CRD#: 2725240
RS

Professional summary

Randal Vernon Stephenson, who also goes by Randal V. Stephenson, Randal Stephenson, Randy V. Stephenson, Randy Stephenson, Randal Vernnon Stephenson, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Randal is registered as a RR (Registered Representative) and started their career in finance in 1996. Randal has worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Randal V. Stephenson | Randal Stephenson | Randy V. Stephenson | Randy Stephenson | Randal Vernnon Stephenson

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 Randal Vernon Stephenson'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

October 31, 2025 - Present

FINALIS SECURITIES LLC

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

May 17, 2024 - April 5, 2025

FE CAPITAL MARKETS

BD
CRD#: 314943
New York , NY
Past

March 16, 2020 - December 15, 2022

GLC SECURITIES, LLC

BD
CRD#: 153581
NEW YORK, NY
Past

January 23, 2013 - November 19, 2018

IIP SECURITIES LLC

BD
CRD#: 158968
NEW YORK, NY
Past

November 30, 2010 - June 11, 2012

KROLL SECURITIES LLC

BD
CRD#: 36927
NEW YORK, NY
Past

January 29, 2009 - November 4, 2010

BURNHAM SECURITIES INC.

BD
CRD#: 22549
NEW YORK, NY
Past

April 14, 2008 - December 22, 2008

PALI CAPITAL, INC.

BD
CRD#: 117783
NEW YORK, NY
Past

May 23, 2006 - July 3, 2007

FIRST CITIZENS CAPITAL SECURITIES, LLC

BD
CRD#: 41504
NEW YORK, NY
Past

September 12, 2002 - May 5, 2006

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

July 27, 2000 - September 27, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

June 14, 1999 - July 28, 2000

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

October 2, 1996 - June 14, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

April 23, 1996 - July 17, 1996

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
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
New York
(10/31/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/30/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/27/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/21/2001
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
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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