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For Advisors
AK

Aamir K. Khan

FINALIS SECURITIES LLC
SAN JUAN CAPISTRANO, CA
Some features on this profile are disabled
CRD#: 3118369
AK

Professional summary

Aamir Kamal Khan, who also goes by Aamir Khan, is a registered financial professional currently at FINALIS SECURITIES LLC located in San Juan Capistrano, California.

Aamir is registered as a RR (Registered Representative) and started their career in finance in 1999. Aamir has worked at 8 firms and has passed the Series 63, Series 65, Series 79TO, Series 82TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Aamir Khan

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 Aamir Kamal Khan'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

March 14, 2023 - Present

FINALIS SECURITIES LLC

BD
CRD#: 305908
SAN JUAN CAPISTRANO, CA
Past

February 29, 2012 - February 19, 2013

LOMBARD ADVISERS INCORPORATED

RIA
CRD#: 108231
TOWSON, MD
Past

February 29, 2012 - December 31, 2012

LOMBARD SECURITIES INCORPORATED

BD
CRD#: 27954
BALTIMORE, MD
Past

July 29, 2008 - December 31, 2011

AMERISAGE FINANCIAL GROUP, INC.

RIA
CRD#: 146893
TOWSON, MD
Past

February 4, 2008 - November 10, 2010

OSAIC SERVICES, INC.

BD
CRD#: 133763
ARLINGTON, TX
Past

December 13, 2007 - February 11, 2008

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
ARLINGTON, TX
Past

June 8, 2007 - February 11, 2008

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
ARLINGTON, TX
Past

January 3, 2001 - June 19, 2001

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

April 6, 1999 - September 25, 2000

NEW ENGLAND SECURITIES

BD
CRD#: 615
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
Arizona
(3/15/2023)
RR
North Dakota
(8/7/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/8/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/15/2007
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/23/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 3/13/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 2/3/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/7/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/5/1999
Investment Company Products/Variable Contracts Representative 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#: 305908San Juan Capistrano, CA

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