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TF

Todd L. Fasanella

FINALIS SECURITIES LLC
New York City, NY 10036
Some features on this profile are disabled
CRD#: 3080501
TF

Professional summary

Todd Lee Fasanella, who also goes by Todd Lee Fasanella, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York City, New York.

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

Question & Answer

Are you a "fiduciary"?
No

Aliases

Todd Lee Fasanella

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 Todd Lee Fasanella'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

November 15, 2024 - Present

FINALIS SECURITIES LLC

Office #1: 530 5th Avenue 9th Floor, New York City, NY, 10036
BD
CRD#: 305908
New York City, NY
Past

February 16, 2024 - November 13, 2024

AVALON SECURITIES, LTD.

BD
CRD#: 30522
NEW YORK, NY
Past

September 6, 2022 - February 20, 2024

HAMILTON GRANT LLC

BD
CRD#: 166180
CALABASAS, CA
Past

December 14, 2018 - August 12, 2022

AARON CAPITAL INCORPORATED

BD
CRD#: 28583
COLUMBUS, GA
Past

May 24, 2011 - January 26, 2017

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
NEW YORK, NY
Past

September 24, 2007 - December 12, 2008

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

November 3, 1998 - September 21, 2007

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

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
New York
(11/15/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/14/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/26/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/11/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 5/23/2011
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/14/2011
General Securities Principal Examination
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#: 305908New York City, NY 10036

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