Scott A. Jordan

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 4176591

Professional summary

Scott Andrew Jordan, who also goes by Scott A Jordan, Scott A Jordons, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Scott is registered as a RR (Registered Representative) and started their career in finance in 2000. Scott has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott A Jordan | Scott A Jordons

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 Scott Andrew Jordan'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 10, 2021 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

April 20, 2020 - December 24, 2020

CIM SECURITIES, LLC

CRD#: 120852

PALMER, AK

Past

October 20, 2010 - July 27, 2018

THIRD500, LLC

CRD#: 115542

Skokie, IL

Past

September 11, 2008 - May 22, 2009

USA ADVANCED PLANNERS INC.

CRD#: 131282

GRAND RAPIDS, MI

Past

June 27, 2005 - September 21, 2006

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

CHICAGO, IL

Past

March 17, 2005 - September 21, 2006

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

CHICAGO, IL

Past

February 13, 2003 - March 14, 2005

SIGMA FINANCIAL CORPORATION

CRD#: 14303

ANN ARBOR, MI

Past

July 26, 2000 - January 19, 2001

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

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

Illinois
(3/10/2021)

Louisiana
(9/26/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/24/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/15/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/20/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/25/2000

General Securities Representative 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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Firm Stability Insights

Scott A. Jordan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Andrew Jordan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CIM SECURITIES, LLC

THIRD500, LLC

USA ADVANCED PLANNERS INC.

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

SIGMA FINANCIAL CORPORATION

FIRST TRUST PORTFOLIOS L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/24/2005

Series 63

Date: 9/15/2000

SIE

Date: 7/27/2018

Series 31

Date: 6/20/2005

Series 7

Date: 7/25/2000

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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