Michael S. Fields
Professional summary
Michael Scott Fields, who also goes by Michael Fields, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2006. Michael has worked at 7 firms and has passed the Series 63, Series 31, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Scott Fields's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 3, 2024 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003February 25, 2021 - May 1, 2024
STONEHAVEN, LLC
August 9, 2017 - December 2, 2019
INDEPENDENT INVESTMENT BANKERS, CORP.
March 10, 2015 - August 2, 2017
YOSEMITE EXECUTION PARTNERS INC.
March 4, 2011 - February 10, 2015
SILVER LEAF PARTNERS, LLC
October 1, 2007 - September 16, 2010
STOCK SECURITIES LLC
April 6, 2006 - June 21, 2007
PALI CAPITAL, 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
(12/3/2024)
(12/3/2024)
(6/16/2025)
(12/3/2024)
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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