Brian D. Thom
Professional summary
Brian David Thom, who also goes by Brian David Thom, Brian Thom, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2000. Brian has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian David Thom's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003November 11, 2022 - March 11, 2025
BUTLER CAPITAL PARTNERS
September 10, 2019 - November 14, 2022
OBERON SECURITIES, LLC
June 17, 2014 - May 20, 2019
SG AMERICAS SECURITIES, LLC
August 6, 2008 - June 6, 2014
B. RILEY SECURITIES, INC.
November 27, 2000 - August 1, 2008
J.P. MORGAN SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/6/2025)
(10/14/2025)
(3/6/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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