David M. Beach

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 2764171

Professional summary

David Martin Beach, who also goes by David Beach, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1996. David has worked at 10 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE, Series 82, Series 79, Series 3, Series 7, Series 6 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Beach

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 David Martin Beach'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

June 14, 2023 - Present

FINALIS SECURITIES LLC

Office #1: 228 Park Ave South Suite 85550, New York, NY 10003

CRD#: 305908

New York, NY

Past

August 19, 2020 - June 17, 2023

WEILD & CO.

CRD#: 132398

BOULDER, CO

Past

January 10, 2018 - September 15, 2020

EMERSON EQUITY LLC

CRD#: 130032

NEW YORK, NY

Past

November 16, 2015 - January 3, 2017

LAMPERT CAPITAL MARKETS INC.

CRD#: 103725

NEW YORK, NY

Past

April 3, 2009 - October 8, 2010

EMERSON EQUITY LLC

RIA

CRD#: 130032

NEW YORK, NY

Past

April 3, 2009 - October 8, 2010

EMERSON EQUITY LLC

CRD#: 130032

NEW YORK, NY

Past

January 22, 2009 - April 7, 2009

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

NEW YORK, NY

Past

February 6, 2007 - January 22, 2009

EMERSON EQUITY LLC

RIA

CRD#: 130032

NEW YORK, NY

Past

April 18, 2006 - January 22, 2009

EMERSON EQUITY LLC

CRD#: 130032

NEW YORK, NY

Past

January 21, 2005 - April 25, 2006

SPENCER CLARKE LLC

CRD#: 41316

NORTH MIAMI, FL

Past

January 23, 2004 - January 21, 2005

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

November 4, 2002 - January 26, 2004

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

NEW ORLEANS, LA

Past

November 12, 2001 - January 26, 2004

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

September 24, 1997 - November 12, 2001

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

July 30, 1996 - September 23, 1997

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(6/14/2023)

Tennessee
(6/26/2024)

Exams

State Security Law Exam

Series 63

Date: 2/10/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/19/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/25/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/19/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 82

Date: 2/23/2018

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 79

Date: 11/16/2015

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 3

Date: 11/20/2003

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/27/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/29/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 30

Date: 4/2/2004

NFA Branch Manager Examination

SRO Registrations

FINRA

Current Firm

FINALIS SECURITIES LLC

DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: , 8-70425

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FINALIS, INC.	HOLDING COMPANY
AZARY, DENNIS MICHAEL	CEO/CCO/FINOP	2384263

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.

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Advisor Monitoring

Firm Stability Insights

David M. Beach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Martin Beach's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEILD & CO.

EMERSON EQUITY LLC

LAMPERT CAPITAL MARKETS INC.

EMERSON EQUITY LLC

EMERSON EQUITY LLC

LAIDLAW & COMPANY (UK) LTD.

EMERSON EQUITY LLC

EMERSON EQUITY LLC

SPENCER CLARKE LLC

LASALLE ST SECURITIES, L.L.C.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

FSC SECURITIES CORPORATION

GUARDIAN INVESTOR SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/10/2018

Series 65

Date: 6/19/2006

Series 66

Date: 3/25/2003

Series 7TO

Date: 10/19/2018

SIE

Date: 10/1/2018

Series 82

Date: 2/23/2018

Series 79

Date: 11/16/2015

Series 3

Date: 11/20/2003

Series 7

Date: 4/27/1998

Series 6

Date: 7/29/1996

Series 30

Date: 4/2/2004

FINRA

Current Firm

FINALIS SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FINALIS SECURITIES LLC

TRUST BUT VERIFY

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