Roger A. Portaro

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 4812150

Professional summary

Roger Alan Portaro Jr, who also goes by Roger A Portaro, Roger Alan Portaro, Roger Alan Portaro Jr, Roger Portaro, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Roger is registered as a RR (Registered Representative) and started their career in finance in 2006. Roger has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Roger A Portaro | Roger Alan Portaro | Roger Alan Portaro Jr | Roger Portaro

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 Roger Alan Portaro Jr'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

November 6, 2024 - Present

FINALIS SECURITIES LLC

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

CRD#: 305908

New York, NY

Past

March 26, 2021 - April 1, 2024

FORO CAPITAL MARKETS, LLC

CRD#: 311125

Charlotte, NC

Past

October 15, 2018 - April 2, 2021

DRAGONFLY CAPITAL PARTNERS, LLC

CRD#: 125199

MT PLEASANT, SC

Past

June 4, 2018 - August 15, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHARLOTTE, NC

Past

April 11, 2018 - August 15, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHARLOTTE, NC

Past

March 8, 2008 - May 26, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHARLOTTE, NC

Past

January 22, 2008 - May 26, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 9, 2006 - May 16, 2007

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

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

North Carolina
(11/6/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/1/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/7/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/11/2018

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

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

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Roger A. Portaro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger Alan Portaro Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORO CAPITAL MARKETS, LLC

DRAGONFLY CAPITAL PARTNERS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/1/2018

Series 63

Date: 7/7/2006

SIE

Date: 8/15/2018

Series 7

Date: 4/11/2018

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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