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WD

Wade A. Diebner

FINALIS SECURITIES LLC
SAN JUAN CAPISTRANO, CA
Some features on this profile are disabled
CRD#: 2958080
WD

Professional summary

Wade Anthony Diebner II, who also goes by Wade Anthony Diebner, is a registered financial professional currently at FINALIS SECURITIES LLC located in San Juan Capistrano, California.

Wade is registered as a RR (Registered Representative) and started their career in finance in 2001. Wade has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 55 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Wade Anthony Diebner

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 Wade Anthony Diebner II'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

February 17, 2021 - Present

FINALIS SECURITIES LLC

BD
CRD#: 305908
SAN JUAN CAPISTRANO, CA
Past

April 25, 2019 - September 2, 2021

YOSEMITE EXECUTION PARTNERS INC.

BD
CRD#: 165587
LAFAYETTE, CA
Past

October 21, 2016 - September 1, 2017

BOUSTEAD SECURITIES, LLC

BD
CRD#: 141391
IRVINE, CA
Past

June 13, 2013 - June 26, 2015

MERRIMAN CAPITAL, INC.

BD
CRD#: 18296
NEW YORK, NY
Past

February 24, 2012 - August 6, 2012

PENSERRA SECURITIES, LLC

BD
CRD#: 145994
DANVILLE, CA
Past

March 17, 2010 - December 31, 2010

DT CAPITAL MANAGEMENT LLC

RIA
CRD#: 135709
DIABLO, CA
Past

December 1, 2005 - December 31, 2009

DT CAPITAL MANAGEMENT LLC

RIA
CRD#: 135709
DIABLO, CA
Past

July 2, 2002 - November 6, 2002

BROKERAGEAMERICA, LLC

BD
CRD#: 47966
NEW YORK, NY
Past

November 28, 2001 - December 17, 2001

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

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
Arizona
(4/7/2021)
RR
Florida
(2/17/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/17/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/12/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/1/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/23/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 10/29/2002
Limited Representative-Equity Trader Exam
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
450 Lexington Ave, New York, NY 10017
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
BRANT, DAVID ROBERTFINOP2718478
DIGIGLIO, JOSEPH ANDREWCCO4945031
MORA, MICHAEL JOHNCEO2648236

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#: 305908San Juan Capistrano, CA

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