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SN

Steven M. Nelson

FINALIS SECURITIES LLC
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 4428189
SN

Professional summary

Steven Matthew Nelson is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2001. Steven has worked at 5 firms and has passed the Series 63, Series 66, Series 79TO, SIE, Series 7 and Series 31 exams.

Question & Answer

Are you a "fiduciary"?
No

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 Steven Matthew Nelson'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

February 14, 2026 - Present

FINALIS SECURITIES LLC

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

May 5, 2008 - May 11, 2010

HALTER FINANCIAL SECURITIES, INC.

BD
CRD#: 104093
NEWPORT BEACH, CA
Past

November 20, 2007 - March 4, 2008

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
NEWPORT BEACH, CA
Past

September 11, 2002 - March 5, 2003

THE SEIDLER COMPANIES INCORPORATED

BD
CRD#: 3911
LOS ANGELES, CA
Past

January 22, 2002 - July 18, 2002

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
LAGUNA HILLS, CA
Past

October 24, 2001 - July 18, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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
RR
Series 63
Date: 12/5/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/9/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/13/2026
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/25/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 11/26/2001
Futures Managed Funds 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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