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JP

Joel M. Price

FINALIS SECURITIES LLC
SAN JUAN CAPISTRANO, CA
Some features on this profile are disabled
CRD#: 4577870
JP

Professional summary

Joel Matthew Price, who also goes by Joel Matthew Price, is a registered financial professional currently at FINALIS SECURITIES LLC located in San Juan Capistrano, California.

Joel is registered as a RR (Registered Representative) and started their career in finance in 2002. Joel has worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 14, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joel Matthew Price

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 Joel Matthew Price'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

April 18, 2025 - Present

FINALIS SECURITIES LLC

BD
CRD#: 305908
SAN JUAN CAPISTRANO, CA
Past

February 23, 2017 - November 10, 2025

MERIT SECURITIES, LLC

BD
CRD#: 165470
Gig Harbor, WA
Past

August 16, 2016 - September 5, 2017

INSTITUTIONAL SECURITIES CORPORATION

BD
CRD#: 20291
Gig Harbor, WA
Past

January 27, 2016 - June 9, 2016

GENESIS CAPITAL LLC

RIA
CRD#: 126909
GIG HARBOR, WA
Past

April 29, 2015 - September 14, 2016

SUMMIT ADVISOR SOLUTIONS

RIA
CRD#: 118581
GIG HARBOR, WA
Past

November 17, 2011 - March 30, 2015

STRATEGIC CAPITAL GROUP L.L.C.

RIA
CRD#: 133381
GIG HARBOR, WA
Past

August 15, 2005 - February 21, 2017

RP CAPITAL LLC

BD
CRD#: 134768
GIG HARBOR, WA
Past

May 14, 2003 - February 17, 2005

ASLAN ASSET STRATEGIES LLC

RIA
CRD#: 108087
GIG HARBOR, WA
Past

April 28, 2003 - May 6, 2003

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA
CRD#: 108728
RENTON, WA
Past

April 28, 2003 - May 6, 2003

PACIFIC WEST SECURITIES, INC.

BD
CRD#: 6390
RENTON, WA
Past

November 8, 2002 - May 6, 2003

LPL FINANCIAL LLC

RIA
CRD#: 6413
EDMONDS, WA
Past

September 5, 2002 - May 6, 2003

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC

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
North Carolina
(6/13/2025)
RR
Washington
(4/18/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/7/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/4/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/8/2010
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/6/2005
General Securities Principal 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#: 305908San Juan Capistrano, CA

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