Braden A. Ferrari

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 4568609

Professional summary

Braden Anthony Ferrari, who also goes by Braden Anthony Ferrari, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Braden is registered as a RR (Registered Representative) and started their career in finance in 2002. Braden has worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Braden Anthony Ferrari

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 Braden Anthony Ferrari'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

May 16, 2025 - Present

FINALIS SECURITIES LLC

Office #1: 228 Park Ave South Suite 85550, New York, NY 10003

CRD#: 305908

New York, NY

Past

April 10, 2023 - February 4, 2025

KINGSWOOD CAPITAL PARTNERS, LLC

CRD#: 288898

Miami, FL

Past

May 17, 2022 - April 7, 2023

WESTPARK CAPITAL, INC.

CRD#: 39914

Miami, FL

Past

October 5, 2020 - May 6, 2022

D. BORAL CAPITAL

CRD#: 103792

New York, NY

Past

October 18, 2018 - October 5, 2020

SW FINANCIAL

CRD#: 145012

MELVILLE, NY

Past

October 22, 2015 - October 18, 2018

EASTGATE SECURITIES, LLC

CRD#: 146671

new york, NY

Past

October 2, 2012 - October 15, 2015

TRIPOINT GLOBAL EQUITIES/BANQ(R)

CRD#: 143174

NEW YORK, NY

Past

April 29, 2011 - October 10, 2012

DU PASQUIER & CO., INC.

CRD#: 24750

NEW YORK, NY

Past

May 1, 2009 - April 26, 2011

AVALON SECURITIES, LTD.

CRD#: 30522

NEW YORK, NY

Past

August 20, 2007 - April 23, 2009

SPENCER CLARKE LLC

CRD#: 41316

NEW YORK, NY

Past

July 18, 2006 - August 17, 2007

MIDTOWN PARTNERS

CRD#: 104223

LAND O LAKES, FL

Past

October 16, 2002 - July 27, 2006

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

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
(5/16/2025)

Illinois
(5/16/2025)

Minnesota
(5/16/2025)

New Hampshire
(5/16/2025)

New Jersey
(5/16/2025)

New York
(5/16/2025)

Exams

State Security Law Exam

Series 63

Date: 10/28/2002

Uniform Securities Agent State Law 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 7

Date: 10/14/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/15/2013

General Securities Principal 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

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.

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Advisor Monitoring

Firm Stability Insights

Braden A. Ferrari

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Braden Anthony Ferrari's CRS (Customer Relationship Summary).

Certified licenses

Experience

KINGSWOOD CAPITAL PARTNERS, LLC

WESTPARK CAPITAL, INC.

D. BORAL CAPITAL

SW FINANCIAL

EASTGATE SECURITIES, LLC

TRIPOINT GLOBAL EQUITIES/BANQ(R)

DU PASQUIER & CO., INC.

AVALON SECURITIES, LTD.

SPENCER CLARKE LLC

MIDTOWN PARTNERS

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/28/2002

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/14/2002

Series 24

Date: 11/15/2013

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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