Peter F. Lang

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 4282165

Professional summary

Peter Frederick Lang is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Peter is registered as a RR (Registered Representative) and started their career in finance in 2000. Peter has worked at 9 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Peter Frederick Lang'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 14, 2023 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

March 25, 2021 - November 15, 2021

BA SECURITIES, LLC

CRD#: 153489

W. CONSHOHOCKEN, PA

Past

October 1, 2018 - June 5, 2019

CHARDAN CAPITAL MARKETS LLC

CRD#: 120128

NEW YORK, NY

Past

March 7, 2016 - February 1, 2018

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

November 19, 2014 - January 27, 2016

B. RILEY SECURITIES, INC.

CRD#: 25027

new york, NY

Past

October 19, 2012 - March 3, 2014

LEERINK PARTNERS LLC

CRD#: 39011

NEW YORK, NY

Past

July 15, 2010 - December 8, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 6, 2009 - February 16, 2010

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

NEW YORK, NY

Past

April 10, 2003 - February 19, 2008

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

October 18, 2000 - March 24, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

Series 63

Date: 10/19/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 2/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal 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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

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Peter F. Lang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter Frederick Lang's CRS (Customer Relationship Summary).

Certified licenses

Experience

BA SECURITIES, LLC

CHARDAN CAPITAL MARKETS LLC

HSBC SECURITIES (USA) INC.

B. RILEY SECURITIES, INC.

LEERINK PARTNERS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MACQUARIE CAPITAL (USA) INC.

UBS SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 10/19/2000

Series 7TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 2/1/2018

Series 7

Date: 10/17/2000

Series 24

Date: 1/2/2023

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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