Adam E. Bergman

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 2994157

Professional summary

Adam Edward Bergman, who also goes by Adam Edward Bergman, Adam Bergman, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Adam is registered as a RR (Registered Representative) and started their career in finance in 1998. Adam has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Adam Edward Bergman | Adam Bergman

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 Adam Edward Bergman'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

September 8, 2025 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

December 17, 2021 - June 19, 2024

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN FRANCISCO, CA

Past

March 1, 2021 - October 29, 2021

FINALIS SECURITIES LLC

CRD#: 305908

NEW YORK, NY

Past

July 20, 2020 - March 1, 2021

GROWTH CAPITAL SERVICES, INC.

CRD#: 124658

CLAYMONT, DE

Past

June 2, 2016 - January 17, 2020

WELLS FARGO SECURITIES, LLC

CRD#: 126292

SAN FRANCISCO, CA

Past

January 8, 2013 - May 31, 2016

GROWTH CAPITAL SERVICES, INC.

CRD#: 124658

CLAYMONT, DE

Past

November 4, 2010 - February 9, 2012

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

SAN FRANCISCO, CA

Past

February 24, 2004 - October 22, 2010

JEFFERIES LLC

CRD#: 2347

SAN FRANCISCO, CA

Past

June 2, 2000 - December 17, 2002

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

May 3, 1999 - May 8, 2000

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

February 24, 1998 - May 4, 1999

ROTHSCHILD & CO US INC.

CRD#: 2910

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

California
(9/8/2025)

Exams

State Security Law Exam

Series 63

Date: 12/26/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 7/5/2016

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 2/23/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/24/2022

General Securities Principal 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

Adam E. Bergman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam Edward Bergman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

FINALIS SECURITIES LLC

GROWTH CAPITAL SERVICES, INC.

WELLS FARGO SECURITIES, LLC

GROWTH CAPITAL SERVICES, INC.

DEUTSCHE BANK SECURITIES INC.

JEFFERIES LLC

J.P. MORGAN SECURITIES INC.

UBS SECURITIES LLC

ROTHSCHILD & CO US INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/26/2000

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 79

Date: 7/5/2016

Series 7

Date: 2/23/1998

Series 24

Date: 1/24/2022

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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