David B. Stevenson

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 4355564

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 New York, New York.

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"?

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

CRD#: 305908

New York, NY

Past

August 17, 2017 - January 3, 2023

BA SECURITIES, LLC

CRD#: 153489

W. CONSHOHOCKEN, PA

Past

January 14, 2014 - August 14, 2017

ARBOR ADVISORS, LLC

CRD#: 136950

SALT LAKE CITY, UT

Past

March 1, 2013 - January 16, 2014

ARCHPOINT PARTNERS LLC

CRD#: 164115

SAN FRANCISCO, CA

Past

March 7, 2011 - November 13, 2013

FINANCIAL TELESIS INC

CRD#: 31012

SANFRANCISCO, CA

Past

July 15, 2009 - July 16, 2010

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

August 12, 2008 - May 14, 2009

WELLS FARGO SECURITIES, LLC

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

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.

CRD#: 7556

CHICAGO, 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

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

Series 63

Date: 5/16/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/11/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/13/2001

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

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

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Advisor Monitoring

Firm Stability Insights

David B. Stevenson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Byron Stevenson's CRS (Customer Relationship Summary).

Certified licenses

Experience

BA SECURITIES, LLC

ARBOR ADVISORS, LLC

ARCHPOINT PARTNERS LLC

FINANCIAL TELESIS INC

PIPER SANDLER & CO.

WELLS FARGO SECURITIES, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/25/2001

Series 63

Date: 5/16/2001

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 5/11/2001

Series 7

Date: 4/13/2001

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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