John A. Cooper

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 4625735

Professional summary

John A. Cooper is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 2003. John has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 John A. Cooper'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

July 2, 2020 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

March 7, 2014 - May 22, 2020

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708

MIAMI, FL

Past

December 21, 2012 - October 13, 2014

ARCHPOINT PARTNERS LLC

CRD#: 164115

SAN FRANCISCO, CA

Past

October 19, 2009 - December 20, 2013

FINANCIAL TELESIS INC

CRD#: 31012

SANFRANCISCO, CA

Past

February 21, 2003 - August 30, 2010

MONTGOMERY & CO., LLC

CRD#: 42300

SANTA MONICA, CA

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

Arizona
(3/26/2025)

California
(7/2/2020)

Florida
(9/18/2020)

Georgia
(12/16/2021)

Louisiana
(11/7/2024)

Massachusetts
(2/8/2022)

Minnesota
(12/13/2023)

New York
(6/6/2022)

North Carolina
(4/1/2022)

Oregon
(3/18/2025)

Pennsylvania
(11/17/2021)

Texas
(7/2/2020)

Washington
(1/15/2021)

Exams

State Security Law Exam

Series 63

Date: 7/21/2003

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: 2/20/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/23/2003

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

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John A. Cooper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John A. Cooper's CRS (Customer Relationship Summary).

Certified licenses

Experience

HOULIHAN LOKEY CAPITAL, INC.

ARCHPOINT PARTNERS LLC

FINANCIAL TELESIS INC

MONTGOMERY & CO., LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/21/2003

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/20/2003

Series 24

Date: 12/23/2003

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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