Michael K. Miles

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 4599728

Professional summary

Michael Kelley Miles, who also goes by Michael Kelley Miles, Michael K Miles, Mike Miles, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Kelley Miles | Michael K Miles | Mike Miles

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 Michael Kelley Miles'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

August 8, 2023 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

February 1, 2019 - May 1, 2023

LAMPERT CAPITAL MARKETS INC.

CRD#: 103725

NY, NY

Past

September 21, 2018 - December 19, 2018

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

CRD#: 8478

INDIANAPOLIS, IN

Past

May 3, 2010 - September 22, 2010

CHAPIN, DAVIS

CRD#: 28116

BALTIMORE, MD

Past

September 22, 2006 - December 31, 2009

INNER HARBOR ASSET MANAGEMENT

RIA

CRD#: 109031

INDIANAPOLIS, IN

Past

April 18, 2006 - March 4, 2009

THE RIDERWOOD GROUP INCORPORATED

CRD#: 16681

TOWSON, MD

Past

January 30, 2003 - December 31, 2003

PATTON MILES, LLC

RIA

CRD#: 123415

INDIANAPOLIS, IN

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
(7/11/2024)

Florida
(8/8/2023)

Indiana
(8/8/2023)

Minnesota
(4/30/2024)

Exams

State Security Law Exam

Series 63

Date: 12/7/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/14/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/2018

General Securities Representative 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

Michael K. Miles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Kelley Miles's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAMPERT CAPITAL MARKETS INC.

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

CHAPIN, DAVIS

INNER HARBOR ASSET MANAGEMENT

THE RIDERWOOD GROUP INCORPORATED

PATTON MILES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/7/2019

Series 65

Date: 10/14/2002

SIE

Date: 10/1/2018

Series 7

Date: 9/21/2018

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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