Trevor R. Thompson
Professional summary
Trevor Reid Thompson is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Trevor is registered as a RR (Registered Representative) and started their career in finance in 2003. Trevor has worked at 3 firms and has passed the Series 63, Series 66, Series 79TO, SIE, Series 7TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Trevor Reid Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 15, 2021 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003February 21, 2019 - August 5, 2021
MSC - BD, LLC
May 9, 2003 - July 27, 2004
THRIVENT INVESTMENT MANAGEMENT INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/11/2024)
(8/15/2021)
(9/16/2024)
Exams
Series 79TO
Date: 4/11/2022
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 2/15/2019
General Securities Representative ExaminationFINRA
Current 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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