Anthony Moretti
Professional summary
Anthony Moretti is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 2002. Anthony has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Anthony Moretti's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003June 2, 2009 - April 15, 2025
BROOKS, HOUGHTON SECURITIES, INC.
March 1, 2005 - September 3, 2008
BMO CAPITAL MARKETS CORP.
February 6, 2004 - March 4, 2005
RBC CAPITAL MARKETS CORPORATION
April 26, 2002 - February 6, 2004
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/2/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
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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