Christopher S. Barnes

FINALIS SECURITIES LLC

New York, NY 10003

Some features on this profile are disabled

CRD#: 2879997

Professional summary

Christopher S Barnes, who also goes by Chris Stuart Barnes, Chris Barnes, Christopher Stuart Barnes, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1997. Christopher has worked at 8 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris Stuart Barnes | Chris Barnes | Christopher Stuart Barnes

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 Christopher S Barnes'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

August 7, 2025 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

March 25, 2020 - April 30, 2025

MERIT SECURITIES, LLC

CRD#: 165470

Denver, CO

Past

April 22, 2019 - March 26, 2020

BRITEHORN SECURITIES

CRD#: 36402

DENVER, CO

Past

February 16, 2009 - March 26, 2019

COLORADO FINANCIAL SERVICE CORPORATION

CRD#: 104343

DENVER, CO

Past

July 8, 2005 - April 4, 2007

FMI CAPITAL ADVISORS, INC.

CRD#: 129262

DENVER, CO

Past

November 1, 1999 - November 7, 2001

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

November 27, 1998 - November 1, 1999

CLEARY GULL INC.

CRD#: 45309

MILWAUKEE, WI

Past

June 26, 1997 - November 27, 1998

CLEARY GULL REILAND & MCDEVITT INC.

CRD#: 18716

MILWAUKEE, WI

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

Colorado
(8/7/2025)

Exams

State Security Law Exam

Series 63

Date: 1/25/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/27/1997

General Securities Representative 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Christopher S. Barnes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher S Barnes's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERIT SECURITIES, LLC

BRITEHORN SECURITIES

COLORADO FINANCIAL SERVICE CORPORATION

FMI CAPITAL ADVISORS, INC.

TUCKER ANTHONY INCORPORATED

CLEARY GULL INC.

CLEARY GULL REILAND & MCDEVITT INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/25/2013

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/27/1997

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

Similar Advisors