Paul A. Dircks

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CRD#: 4221939

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Paul Alexander Dircks, who also goes by Paul Alexander Dircks, was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 2008. Paul had worked at 7 firms and has passed the Series 66, SIE, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Paul Alexander Dircks

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.

1) NASSAU POINT LLC; 62 SAINT JAMES ST S, GARDEN CITY, NY 11530; PARENT COMPANY FOR RENTAL PROPERTY INVESTMENTS; CO-MANAGER; 1/24/2019; VARIABLE TIME DEVOTED; CO-MANAGER 2) OLD BAY SOUTH LLC; 62 SAINT JAMES ST S, GARDEN CITY, NY 11530; COMPANY FOR RENTAL PROPERTY INVESTMENTS; CO-MANAGER; START DATE 11-15-2019; VARIABLE TIME INVOLVED; CO-MANAGER

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 12, 2023 - April 26, 2024

FINALIS SECURITIES LLC

CRD#: 305908

NEW YORK, NY

Past

October 19, 2023 - December 31, 2023

PHASE ONE FINANCIAL SERVICES, LLC

CRD#: 290317

NEW YORK, NY

Past

April 28, 2011 - April 17, 2023

WILLIAM BLAIR

RIA

CRD#: 1252

NEW YORK, NY

Past

April 27, 2011 - April 17, 2023

WILLIAM BLAIR

CRD#: 1252

NEW YORK, NY

Past

October 19, 2010 - April 18, 2011

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

BIRMINGHAM, AL

Past

November 9, 2009 - December 9, 2009

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

BIRMINGHAM, AL

Past

November 9, 2009 - April 18, 2011

STERNE, AGEE & LEACH, INC.

CRD#: 791

NEW YORK, NY

Past

June 1, 2009 - December 1, 2009

MORGAN STANLEY

RIA

CRD#: 149777

BALTIMORE, MD

Past

June 1, 2009 - December 1, 2009

MORGAN STANLEY

CRD#: 149777

BALTIMORE, MD

Past

March 3, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BALTIMORE, MD

Past

February 12, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/25/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 12/30/2009

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 2/11/2008

General Securities Representative Examination

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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Advisor Monitoring

Firm Stability Insights

Paul A. Dircks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PHASE ONE FINANCIAL SERVICES, LLC

WILLIAM BLAIR

WILLIAM BLAIR

INTL ADVISORY CONSULTANTS INC.

INTL ADVISORY CONSULTANTS INC.

STERNE, AGEE & LEACH, INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/25/2008

SIE

Date: 10/1/2018

Series 87

Date: 12/30/2009

Series 7

Date: 2/11/2008

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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