Wade A. Diebner

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 2958080

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 New York, New York.

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"?

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

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

CRD#: 305908

New York, NY

Past

April 25, 2019 - September 2, 2021

YOSEMITE EXECUTION PARTNERS INC.

CRD#: 165587

LAFAYETTE, CA

Past

October 21, 2016 - September 1, 2017

BOUSTEAD SECURITIES, LLC

CRD#: 141391

IRVINE, CA

Past

June 13, 2013 - June 26, 2015

MERRIMAN CAPITAL, INC.

CRD#: 18296

NEW YORK, NY

Past

February 24, 2012 - August 6, 2012

PENSERRA SECURITIES, LLC

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

CRD#: 47966

NEW YORK, NY

Past

November 28, 2001 - December 17, 2001

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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

Arizona
(4/7/2021)

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

Series 63

Date: 7/12/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/23/2012

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 10/29/2002

Limited Representative-Equity Trader Exam

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

Wade A. Diebner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wade Anthony Diebner II's CRS (Customer Relationship Summary).

Certified licenses

Experience

YOSEMITE EXECUTION PARTNERS INC.

BOUSTEAD SECURITIES, LLC

MERRIMAN CAPITAL, INC.

PENSERRA SECURITIES, LLC

DT CAPITAL MANAGEMENT LLC

DT CAPITAL MANAGEMENT LLC

BROKERAGEAMERICA, LLC

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/2005

Series 63

Date: 7/12/2002

SIE

Date: 9/1/2017

Series 7

Date: 2/23/2012

Series 55

Date: 10/29/2002

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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