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DH

Dustin E. Harris

FINALIS SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 4404619
DH

Professional summary

Dustin E Harris, who also goes by Dustin E. Harris, Dustin Eric Harris, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Dustin is registered as a RR (Registered Representative) and started their career in finance in 2011. Dustin has worked at 5 firms and has passed the Series 63, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dustin E. Harris | Dustin Eric Harris

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 Dustin E Harris'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

July 29, 2021 - Present

FINALIS SECURITIES LLC

Office #1: 450 Lexington Ave., New York, NY 10017
BD
CRD#: 305908
New York, NY
Past

May 20, 2019 - August 27, 2019

OPPORTUNE PARTNERS LLC

BD
CRD#: 293414
HOUSTON, TX
Past

September 18, 2017 - June 13, 2018

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
HOUSTON, TX
Past

October 27, 2016 - July 28, 2017

JEFFERIES LLC

BD
CRD#: 2347
HOUSTON, TX
Past

December 6, 2011 - September 23, 2016

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
HOUSTON, TX

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
Florida
(7/29/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 4/23/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/5/2011
Investment Banking Registered 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#: 305908New York, NY 10017

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