Matthew S. Faust

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 4783720

Professional summary

Matthew Scott Faust, who also goes by Matthew Scott Faust, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2004. Matthew has worked at 4 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Matthew Scott Faust

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 Matthew Scott Faust'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

September 24, 2024 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

January 3, 2017 - September 23, 2024

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

Stamford, CT

Past

May 4, 2011 - January 3, 2017

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

STAMFORD, CT

Past

June 15, 2004 - November 30, 2007

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

CHARLOTTE, NC

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

Alabama
(9/24/2024)

Arizona
(9/24/2024)

California
(9/24/2024)

Colorado
(9/24/2024)

Connecticut
(9/24/2024)

Delaware
(9/24/2024)

District of Columbia
(9/24/2024)

Florida
(9/24/2024)

Georgia
(9/24/2024)

Illinois
(9/24/2024)

Indiana
(9/24/2024)

Maine
(4/8/2025)

Maryland
(9/24/2024)

Massachusetts
(9/24/2024)

Michigan
(9/24/2024)

Missouri
(9/24/2024)

New Jersey
(9/24/2024)

New York
(9/24/2024)

North Carolina
(9/24/2024)

Ohio
(9/24/2024)

Pennsylvania
(9/24/2024)

Tennessee
(4/8/2025)

Texas
(9/24/2024)

Virginia
(9/24/2024)

Washington
(9/24/2024)

Exams

State Security Law Exam

Series 63

Date: 5/25/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 6/30/2015

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 5/3/2011

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Matthew S. Faust

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew Scott Faust's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINALIS SECURITIES LLC

AGES FINANCIAL SERVICES, LTD.

SOURCE CAPITAL GROUP, INC.

BANC OF AMERICA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/25/2012

SIE

Date: 10/1/2018

Series 79

Date: 6/30/2015

Series 7

Date: 5/3/2011

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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