Seth A. Metsker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Seth A Metsker, who also goes by Seth Metsker, was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 2003. Seth had worked at 4 firms and has passed the Series 63, Series 82TO, Series 79TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2023 - April 25, 2025
FINALIS SECURITIES LLC
September 16, 2022 - August 16, 2023
IMPERII SECURITIES LLC
June 18, 2021 - September 16, 2022
FINALIS SECURITIES LLC
November 15, 2004 - February 24, 2011
HOULIHAN LOKEY ADVISORS, LLC
January 9, 2003 - August 28, 2003
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 82TO
Date: 6/25/2021
Limited Representative-Private Securities OfferingsSeries 79TO
Date: 6/18/2021
Investment Banking Registered Representative ExaminationCurrent 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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