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DS

David B. Stevenson

FINALIS SECURITIES LLC
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 4355564
DS

Professional summary

David Byron Stevenson, who also goes by David Stevenson, David Stevenson, is a registered financial professional currently at FINALIS SECURITIES LLC located in San Francisco, California.

David is registered as a RR (Registered Representative) and started their career in finance in 2001. David has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Stevenson | David Stevenson

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 David Byron Stevenson'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 23, 2023 - Present

FINALIS SECURITIES LLC

Office #1: 550 California St, Suite 800, San Francisco, CA 94104
BD
CRD#: 305908
San Francisco, CA
Past

August 17, 2017 - January 3, 2023

BA SECURITIES, LLC

BD
CRD#: 153489
W. CONSHOHOCKEN, PA
Past

January 14, 2014 - August 14, 2017

ARBOR ADVISORS, LLC

BD
CRD#: 136950
SALT LAKE CITY, UT
Past

March 1, 2013 - January 16, 2014

ARCHPOINT PARTNERS LLC

BD
CRD#: 164115
SAN FRANCISCO, CA
Past

March 7, 2011 - November 13, 2013

FINANCIAL TELESIS INC

BD
CRD#: 31012
SANFRANCISCO, CA
Past

July 15, 2009 - July 16, 2010

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

August 12, 2008 - May 14, 2009

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

April 2, 2007 - May 29, 2007

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
CHICAGO, IL
Past

April 2, 2007 - May 29, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
CHICAGO, IL
Past

March 12, 2002 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
CHICAGO, IL
Past

April 16, 2001 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
CHICAGO, IL

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
California
(3/23/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/25/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/16/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional 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: 5/11/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/13/2001
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#: 305908San Francisco, CA 94104

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