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NC

Neil M. Collins

FINALIS SECURITIES LLC
New York, NY 10003
Some features on this profile are disabled
CRD#: 3211754
NC

Professional summary

Neil Morgan Collins, who also goes by Neil M Collins, Neil Collins, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Neil is registered as a RR (Registered Representative) and started their career in finance in 2001. Neil has worked at 12 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7, Series 3 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Neil M Collins | Neil Collins

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 Neil Morgan Collins'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

May 10, 2023 - Present

FINALIS SECURITIES LLC

Office #1: 228 Park Ave South Suite 85550, New York, NY 10003
BD
CRD#: 305908
New York, NY
Past

March 11, 2020 - April 25, 2023

GREENWICH CAPITAL PARTNERS, LLC

BD
CRD#: 305693
GREENWICH, CT
Past

February 3, 2014 - April 21, 2015

TCG SECURITIES, L.L.C.

BD
CRD#: 154788
WASHINGTON, DC
Past

October 2, 2013 - January 6, 2014

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
STAMFORD, CT
Past

August 6, 2010 - July 29, 2011

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
SEATTLE, WA
Past

July 30, 2010 - July 29, 2011

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SEATTLE, WA
Past

October 2, 2007 - May 6, 2009

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA
CRD#: 107105
NEW YORK, NY
Past

October 2, 2007 - May 6, 2009

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
SEATTLE, WA
Past

October 24, 2005 - October 2, 2007

QUELLOS FUND SERVICES, LLC

BD
CRD#: 137247
SEATTLE, WA
Past

July 14, 2005 - November 2, 2007

QUELLOS PRIVATE CAPITAL MARKETS, L.P.

RIA
CRD#: 135935
SEATTLE, WA
Past

September 26, 2001 - March 15, 2004

QUELLOS FIXED INCOME ADVISORS LLC

RIA
CRD#: 108912
SEATTLE, WA
Past

September 26, 2001 - October 2, 2007

QUELLOS CAPITAL MANAGEMENT LP

RIA
CRD#: 106683
SEATTLE, WA
Past

April 23, 2001 - October 24, 2005

CFT SECURITIES, LLC

BD
CRD#: 46226
PRINCETON, NJ

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
California
(5/10/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/16/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/5/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/11/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/28/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 3/17/1999
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/9/2008
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
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)

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
AZARY, DENNIS MICHAELCEO/CCO/FINOP2384263

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, NY 10003

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