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TR

Thomas A. Rocco

FINALIS SECURITIES LLC
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 4007334
TR

Professional summary

Thomas Anthony Rocco III, who also goes by Thomas Anthony Rocco III, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2004. Thomas has worked at 6 firms and has passed the Series 65, Series 66, Series 79TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Anthony Rocco Iii

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 Thomas Anthony Rocco III'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 25, 2025 - Present

FINALIS SECURITIES LLC

Office #1: 450 Lexington Ave, New York, NY 10017
BD
CRD#: 305908
NEW YORK, NY
Past

January 1, 2010 - July 2, 2025

INVESCO ADVISERS, INC.

RIA
CRD#: 105360
Weston, MA
Past

September 25, 2007 - January 1, 2010

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

RIA
CRD#: 109264
HOUSTON, TX
Past

September 25, 2007 - July 2, 2025

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
HOUSTON, TX
Past

June 1, 2005 - September 6, 2007

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
WINDSOR, CT
Past

August 30, 2004 - May 9, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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
Georgia
(2/4/2026)
RR
Massachusetts
(11/25/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/15/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/17/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 12/1/2004
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/28/2004
General Securities 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#: 305908New York, NY 10017

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